James Douglas Leugers

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2016-11-01
FL	RA	APPROVED	2007-02-09
OH	RA	APPROVED	2007-02-09

TX RA
APPROVED_RES

Since 2016-11-01
FL RA
APPROVED

Since 2007-02-09
OH RA
APPROVED

Since 2007-02-09

Branch Locations

Maineville, OH • United States

312 Walnut Street Suite 3300, Cincinnati, OH 45202 • 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	Cincinnati	OH	11/2013	Present

11/2013 → Present

Ubs Financial Services Inc

Cincinnati, OH

Previous Registrations

2007-01-04 → 2007-02-09

Keybanc Capital Markets Inc.

Cincinnati, OH

Cincinnati, OH

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2006-12-22
S63	Uniform Securities Agent State Law Examination	1987-03-31

S65 Uniform Investment Adviser Law Examination

2006-12-22
S63 Uniform Securities Agent State Law Examination

1987-03-31