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James Joseph Shea

Ubs Financial Services Inc.

San Francisco, CA

Palo Alto, CA

San Diego, CA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2010-01-01
TX RA APPROVED 2010-01-01
  • CA RA
    APPROVED
    Since 2010-01-01
  • TX RA
    APPROVED
    Since 2010-01-01

Branch Locations

555 California Street 33Rd Floor, San Francisco, CA 94104 • United States

305 Lytton Avenue, Palo Alto, CA 94301 • United States

San Diego, CA • 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
Ubs Financial Services Inc. San Diego CA 01/2010 Present
Previous Registrations
  • 2007-01-03 → 2010-01-01
    Ubs International Inc.
    San Diego, CA
  • 1997-07-08 → 2007-01-05
    Ubs Financial Services Inc.
    San Diego, CA
    San Diego, CA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1984-07-26
  • S63 Uniform Securities Agent State Law Examination
    1984-07-26

View on SEC IAPD

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DIVISAR CAPITAL MANAGEMENT, LLC · SAN FRANCISCO, CA
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RBC SECURITIES, INC · SAN FRANCISCO, CA
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