James W. Buck
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James William Buck was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1970. James had worked at 16 firms and has passed the Series 63, SIE, Series 16, Series 3, PC, Series 1, Series 8, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 12, 2012 - October 18, 2018
UAT RESOURCES, LLC
January 2, 2007 - November 10, 2010
COWEN EXECUTION SERVICES LLC
June 23, 1998 - June 30, 2005
INSTINET, LLC
May 5, 1998 - May 27, 1998
WMA SECURITIES, INC.
May 12, 1997 - January 2, 2007
LYNCH, JONES & RYAN LLC
July 19, 1988 - May 9, 1997
CIBC WORLD MARKETS CORP.
February 25, 1985 - August 2, 1988
MORGAN STANLEY & CO. LLC
November 2, 1984 - January 22, 1985
BEVILL, BRESLER & SCHULMAN INCORPORATED
January 2, 1980 - November 8, 1984
BECKER PARIBAS INCORPORATED
September 17, 1979 - January 29, 1980
LEHMAN BROTHERS INC.
January 18, 1978 - September 17, 1979
LOEB PARTNERS
January 4, 1977 - January 18, 1978
LOEB RHOADES & CO. INC.
October 6, 1975 - January 4, 1977
LOEB, RHOADES & CO. INC.
June 13, 1974 - November 10, 1975
EDWARDS & HANLY
September 22, 1972 - July 12, 1974
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
September 11, 1970 - September 7, 1972
HAYDEN STONE INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
PC
Date: 9/7/1977
AMEX Put and Call ExamSeries 1
Date: 2/29/1968
Registered Representative ExaminationSeries 8
Date: 12/2/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
UAT RESOURCES, LLC
CRD#: 161378 / SEC#: , 8-69073
Contact information
Documents
Red Flags
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