James S. Tart
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 Stuart Tart, who also goes by Jim Tart, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1971. James had worked at 5 firms and has passed the Series 63, SIE, PC, Series 5, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 9, 1987 - October 29, 1987
PAINEWEBBER REAL ESTATE SECURITIES INC.
August 23, 1983 - December 16, 2015
UBS FINANCIAL SERVICES INC.
January 31, 1980 - December 16, 2015
UBS FINANCIAL SERVICES INC.
November 14, 1972 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
July 20, 1972 - November 14, 1972
EASTMAN DILLON, UNION SECURITIES & CO., INCORPORATED
June 3, 1971 - July 26, 1972
DOMIK CORP.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
PC
Date: 12/6/1982
AMEX Put and Call ExamSeries 5
Date: 10/6/1981
Interest Rate Options ExaminationSeries 1
Date: 8/11/1965
Registered Representative ExaminationSeries 40
Date: 7/26/1968
Registered Principal ExaminationCurrent Firm
PAINEWEBBER REAL ESTATE SECURITIES INC.
CRD#: 19736 / SEC#: , 8-38043
Contact information
Documents
Red Flags
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