James Desousa

Ubs Financial Services Inc.

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Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
NJ	RA	APPROVED	2025-07-18

NJ RA
APPROVED

Since 2025-07-18

Branch Locations

1000 & 1200 Harbor Blvd., Weehawken, NJ 07086 • 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

Organization	City	State	From	To
Wells Fargo Clearing Services, Llc	Woodbury	NY	10/2022	07/2024
College Of The Holy Cross	Worcester	NY	09/2016	05/2020
Better Business Bureau	New York	NY	06/2018	08/2018
Wells Fargo	Garden City	NY	06/2019	08/2019
Unemployed	New York	NY	05/2020	10/2021
Guaranteed Rate Affinity	New York	NY	10/2021	06/2022
Unemployed	New York	NY	06/2022	10/2022
Travel/Unemployed	New York	NY	07/2024	07/2025
Ubs Financial Services, Inc	Weehawken	NJ	07/2025	Present

10/2022 → 07/2024

Wells Fargo Clearing Services, Llc

Woodbury, NY
09/2016 → 05/2020

College Of The Holy Cross

Worcester, NY
06/2018 → 08/2018

Better Business Bureau

New York, NY
06/2019 → 08/2019

Wells Fargo

Garden City, NY
05/2020 → 10/2021

Unemployed

New York, NY
10/2021 → 06/2022

Guaranteed Rate Affinity

New York, NY
06/2022 → 10/2022

Unemployed

New York, NY
07/2024 → 07/2025

Travel/Unemployed

New York, NY
07/2025 → Present

Ubs Financial Services, Inc

Weehawken, NJ

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2025-07-06
S63	Uniform Securities Agent State Law Examination	2024-12-11

S66 Uniform Combined State Law Examination

2025-07-06
S63 Uniform Securities Agent State Law Examination

2024-12-11

View on SEC IAPD

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