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James Edward Carey

Ubs Financial Services Inc.

Miami, FL

West Palm Beach, FL

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2023-07-27
CT RA APPROVED 2023-07-26
NJ RA APPROVED 2023-07-26
FL RA APPROVED 2023-06-06
NY RA APPROVED 2021-10-26
TX RA APPROVED 2010-01-01
  • PA RA
    APPROVED
    Since 2023-07-27
  • CT RA
    APPROVED
    Since 2023-07-26
  • NJ RA
    APPROVED
    Since 2023-07-26
  • FL RA
    APPROVED
    Since 2023-06-06
  • NY RA
    APPROVED
    Since 2021-10-26
  • TX RA
    APPROVED
    Since 2010-01-01

Branch Locations

100 Se 2Nd Street 27Th Floor, Miami, FL 33131 • United States

525 Okeechobee Blvd Suite 1500, West Palm Beach, FL 33401 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Dean Witter Reynolds Inc. New York NY 02/1985 Present
Ubs Financial Services Inc. New York NY 08/2004 Present
Ubs Financial Services Inc. New York NY 01/2010 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-03-15
S63 Uniform Securities Agent State Law Examination 1991-04-19
  • S66 Uniform Combined State Law Examination
    2007-03-15
  • S63 Uniform Securities Agent State Law Examination
    1991-04-19

View on SEC IAPD

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