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James W. Fogarty

Ubs Financial Services Inc.

Portsmouth, NH

Hampton Falls, NH

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2024-01-17
ME RA APPROVED 2010-09-30
NH RA APPROVED 2010-09-30
  • TX RA
    APPROVED_RES
    Since 2024-01-17
  • ME RA
    APPROVED
    Since 2010-09-30
  • NH RA
    APPROVED
    Since 2010-09-30

Branch Locations

40 Congress Street, Portsmouth, NH 03801 • United States

Hampton Falls, NH • 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
U.S. Army Reserves Brooklyn NY 10/1973 Present
Ubs Financial Services Inc Portsmouth NH 09/2010 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-07-07
S63 Uniform Securities Agent State Law Examination 1980-08-29
  • S65 Uniform Investment Adviser Law Examination
    1997-07-07
  • S63 Uniform Securities Agent State Law Examination
    1980-08-29
Other Names
  • James W Fogarty
  • James William Fogarty

View on SEC IAPD

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Other Offices

CHARTER OAK CAPITAL MANAGEMENT · PORTSMOUTH, NH
NVEST FINANCIAL, LLC · PORTSMOUTH, NH
DAVID WENDELL ASSOCIATES, INC. · PORTSMOUTH, NH
KWM FINANCIAL LLC · PORSTMOUTH, NH
GOLDEN FINANCIAL SERVICES · PORTSMOUTH, NH
ESTATE PLANNERS OF NEW ENGLAND, LLC · PORTSMOUTH, NH
PISCATAQUA RESEARCH INC. · PORTSMOUTH, NH
PATRIOT ADVISORY GROUP · PORTSMOUTH, NH

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