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James Morris

Ubs Financial Services Inc.

West Des Moines, IA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2025-07-14
IA RA APPROVED 2024-08-13
  • TX RA
    APPROVED
    Since 2025-07-14
  • IA RA
    APPROVED
    Since 2024-08-13

Branch Locations

1075 Jordan Creek Parkway Suite 100, West Des Moines, IA 50266 • 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
Dallas Cowboys Frisco TX 08/2016 05/2017
Unemployed North Liberty IA 05/2017 09/2017
Principal Financial Group Des Moines IA 09/2017 09/2021
Greenstate Credit Union Clive IA 10/2021 08/2022
Principal Financial Group Des Moines IA 08/2022 04/2024
Ubs West Des Moines IA 04/2024 Present
  • 08/2016 → 05/2017
    Dallas Cowboys
    Frisco, TX
  • 05/2017 → 09/2017
    Unemployed
    North Liberty, IA
  • 09/2017 → 09/2021
    Principal Financial Group
    Des Moines, IA
  • 10/2021 → 08/2022
    Greenstate Credit Union
    Clive, IA
  • 08/2022 → 04/2024
    Principal Financial Group
    Des Moines, IA
  • 04/2024 → Present
    Ubs
    West Des Moines, IA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2024-08-05
  • S63 Uniform Securities Agent State Law Examination
    2024-08-05
Designations

View on SEC IAPD

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ARETE WEALTH ADVISORS, LLC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
PARK AVENUE SECURITIES LLC

Other Investors

DANIEL ALEXANDER ALLEN
JENNIE JEAN HENRY
PATRICK JOSEPH BYRNE
EDDIE RAY COLEMAN
JAMES LAWRENCE LUMLEY
CONOR J BOFFELI
Signe Olson
ANDREW JAY HIMELSON

Other Offices

PRINCIPAL SECURITIES, INC. · West Des Moines, IA
COMMONWEALTH FINANCIAL NETWORK · West Des Moines, IA
PRINCIPAL SECURITIES, INC. · WEST DES MOINES, IA
FOSTER GROUP, INC. · WEST DES MOINES, IA
KSA PARTNERS, LLC · WEST DES MOINES, IA
LPL FINANCIAL LLC · WEST DES MOINES, IA
ARETE WEALTH ADVISORS, LLC · WEST DES MOINES, IA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · WEST DES MOINES, IA

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