James Edward Krug

Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2025-06-30
NY	RA	APPROVED	2021-10-26

TX RA
APPROVED_RES

Since 2025-06-30
NY RA
APPROVED

Since 2021-10-26

Branch Locations

Montauk, NY • United States

1055 Franklin Avenue Suite 300, Garden City, NY 11530 • United States

Merrick, NY • 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.	Garden City	NY	01/2016	Present

01/2016 → Present

Ubs Financial Services Inc.

Garden City, NY

Other Businesses

1) PERSUADER SPORT FISHING CHARTERS, SPORT FISHING, OWNER, V.S.C.G LICENSED CAPTAIN, APPROX. 5/96, 30HRS PER MONTH, 0HRS DURING TRADING HOURS, OWNER/OPERATOR, US COAST GUARD LICENSED CAPTAIN SPORT FISHING VESSEL PERSUADER II. / Persuader sportfishing charters / 2916 charlotte dr merrick,ny 11566 / Company/ Sport & Leisure Facilities / sportfishing charters / Officer / / uscg licensed captain / Start Date 01/05/2004 /// 2) 528 north third st llc / Partnership / rental property / Partner / passive investor

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1987-09-03

S63 Uniform Securities Agent State Law Examination

1987-09-03

Other Names

Jim Krug
Jimmy Krug
James E Krug

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