James Owen Cassidy

Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2005 → Present
  Ubs Ag
  New York, NY
• 04/2005 → Present
  Ubs International Inc.
  New York, NY
• 01/2010 → Present
  Ubs Financial Services Inc.
  New York, NY
• 10/2010 → Present
  Ubs Financial S. - Wilmington
  New York, NY

Other Businesses

NAME OF BUSINESS: CORPORATE DESIGN NATURE OF BUSINESS: ARCHITECTURAL SERVICES (NON-INVESTMENT RELATED) ADDRESS OF BUSINESS: 8 MEMORY LANE, FAIRFIELD, CONNECTICUT POSITION & DUTIES: PASSIVE PARTNER, SIGNATORY ON THE CHECKING ACCOUNT, MINOR TASKS RELATIONSHIP: SPOUSAL BUSINESS START DATE: APPROX. 10 YEARS AGO TIME DEVOTED TO BUSINESS: LESS THAN 1 WEEK PER YEAR HOURS DEVOTED DURING TRADING TIME: NONE

Exams

• S66 Uniform Combined State Law Examination
  2011-02-07
• S63 Uniform Securities Agent State Law Examination
  1993-04-28

Other Names

• James Owen Cassidy
• James Cassidy