James Raymond Oplt

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2016-04-18
TX	RA	APPROVED_RES	2013-07-08
IA	RA	APPROVED	1999-01-01

FL RA
APPROVED

Since 2016-04-18
TX RA
APPROVED_RES

Since 2013-07-08
IA RA
APPROVED

Since 1999-01-01

Branch Locations

1075 Jordan Creek Parkway Suite 100, West Des Moines, IA 50266 • United States

Naples, FL • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Ubs Financial Services Inc.	West Des Moines	IA	09/1989	Present

09/1989 → Present

Ubs Financial Services Inc.

West Des Moines, IA

Other Businesses

CONVENIENCE STORE PART OWNER

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1980-03-15

S63 Uniform Securities Agent State Law Examination

1980-03-15

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Other Businesses

Exams

Other Firms

Other Investors

Other Offices

Reviews