James Michael Belknap

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
TX	RA	APPROVED_RES	2020-09-28
MI	RA	APPROVED	2010-09-16
FL	RA	APPROVED	2009-12-07

TX RA
APPROVED_RES

Since 2020-09-28
MI RA
APPROVED

Since 2010-09-16
FL RA
APPROVED

Since 2009-12-07

Branch Locations

325 North Old Woodward Ave Suite 200, Birmingham, MI 48009 • 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	Birmingham	MI	02/2009	Present

02/2009 → Present

Ubs Financial Services Inc

Birmingham, MI

Other Businesses

1)TRUSTEE OF FAMILY RELATED ACCOUNT/1HR. PER MONTH/EFF: 3/27/09. 2)ROY C. BELKNAP TRUST / 7374 PERIWINKLE DRIVE SARASOTA,FLORIDA 34231 / TRUST/ FINANCIAL (CONSUMER & INVESTMENT SERVICES) / TRUST / TRUSTEE / / ASSET MANAGEMENT / START DATE 05/29/1994 / MANAGE ASSETS 3) Maureen Babcock Irrev Trust/ 1058 Clear Point Court, Bloomfield, Michigan 48304, US/ trustee/ Start date: 5/7/2009 4) Susan Mack Trust/ 1058 Clear Point Court, Bloomfield, Michigan 48304, US/ trustee/ start date: 3/27/2009

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2009-12-01
S65	Uniform Investment Adviser Law Examination	1991-10-07
S63	Uniform Securities Agent State Law Examination	1984-07-25

S66 Uniform Combined State Law Examination

2009-12-01
S65 Uniform Investment Adviser Law Examination

1991-10-07
S63 Uniform Securities Agent State Law Examination

1984-07-25

View on SEC IAPD