James Davis Degoler

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
KS	RA	APPROVED	2023-05-12
TX	RA	APPROVED_RES	2003-07-08
OK	RA	APPROVED	2000-12-07
MO	RA	APPROVED	1995-10-19

KS RA
APPROVED

Since 2023-05-12
TX RA
APPROVED_RES

Since 2003-07-08
OK RA
APPROVED

Since 2000-12-07
MO RA
APPROVED

Since 1995-10-19

Branch Locations

4622 Pennsylvania Avenue 8Th Floor, Kansas City, MO 64112 • United States

700 West 47Th Street Suite 500, Kansas City, MO 64112 • 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.	Kansas City	MO	04/1986	Present

04/1986 → Present

Ubs Financial Services Inc.

Kansas City, MO

Other Businesses

SADIES LLC / 773 E. 1300 RD LAWRENCE,KS DOUGLAS COUNTY NONE / OTHER/ OTHER LLC / OWNERSHIP OF HUNTING AND FISHING PROPERTY / OTHER / 1/4 OWNER / YARDWORK AND MAINTENANCE / START DATE 1/31/2014

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1991-12-26
S63	Uniform Securities Agent State Law Examination	1986-08-29

S65 Uniform Investment Adviser Law Examination

1991-12-26
S63 Uniform Securities Agent State Law Examination

1986-08-29

Other Names

Jay Degoler

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Other Businesses

Exams

Other Names

Other Firms

Other Investors

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Reviews