James William Buck
Professional Summary
James William Buck was a registered financial advisor. James was a previously registered financial professional and started their career in finance 1970 - 2018. 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
58 years in the financial services industry
Current & Past Employments
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Current Firm
UAT RESOURCES, LLC
Contact Information
Established
Delaware since 02/13/2012Firm Type
Limited Liability CompanyFiscal Year End
DecemberDocuments
Direct owners and executive officers
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
PC — AMEX Put and Call Exam
Passed Sep 1977Series 1 — Registered Representative Examination
Passed Feb 1968Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Dec 1997Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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