James C. Spooner

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
IA	RA	APPROVED	1999-01-01
TX	RA	APPROVED_RES	1989-10-30

IA RA
APPROVED

Since 1999-01-01
TX RA
APPROVED_RES

Since 1989-10-30

Branch Locations

Storm Lake, IA • United States

Des Moines, IA • United States

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

Organization	City	State	From	To
Ubs Financial Services Inc.	West Des Moines	IA	10/1989	Present

10/1989 → Present

Ubs Financial Services Inc.

West Des Moines, IA

Other Businesses

1) NAME OF OTHER BUSINESS:James C. Spooner (owned personally) / INVESTMENT RELATED?: No / ADDRESS:Storm Lake, Iowa 50588 US/ NATURE OF THE BUSINESS: Agriculture & Livestock/ Farm Investment / POSITION:Proprietor/ owner/ DUTIES:Cash rent/ START DATE:1/1/2021 / HOURS DEVOTED TO BUSINESS: 2) NAME OF OTHER BUSINESS: Citizens First National Bank / INVESTMENT RELATED?:Y / ADDRESS: 529 Lake Ave, Storm Lake, Iowa/ NATURE OF THE BUSINESS: Company -Banking (Retail, Investment, Merchant) / POSITION: Member of Board of Directors / DUTIES: Board of Directors Oversight / START DATE:1/19/2021 / HOURS DEVOTED TO BUSINESS:NA 3) Des Moines Area Community College Foundation, Community College, I have been on the board for many years and have been asked to serve a President of the Foundation, President, start date-2/15/2006.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1986-09-03

S63 Uniform Securities Agent State Law Examination

1986-09-03

Other Names

Jim Spooner
James Curtis Spooner

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