James S. Scott Munro

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:

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-10-26
TX	RA	APPROVED_RES	2014-07-15

NY RA
APPROVED

Since 2021-10-26
TX RA
APPROVED_RES

Since 2014-07-15

Branch Locations

One Hsbc Center__Suite 3737, Buffalo, NY 14203 • United States

250 Delaware Avenue, Buffalo, NY 14202 • 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.	Buffalo	NY	04/1997	Present

04/1997 → Present

Ubs Financial Services Inc.

Buffalo, NY

Other Businesses

St Marys Hospital Foundation / Military Road Lewiston,NY 14092 / Foundation/ Health Care & Pharmaceuticals / chairitable giving / Member of Board of Directors / / Fund raising / Start Date 01/01/2010 / End Date 01/01/2018

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1996-03-22
S63	Uniform Securities Agent State Law Examination	1983-12-02

S65 Uniform Investment Adviser Law Examination

1996-03-22
S63 Uniform Securities Agent State Law Examination

1983-12-02

Other Names

James Scott Munro

View on SEC IAPD