JC
James Chan
UBS SECURITIES LLC
New York, NY 10010
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CRD#: 5185466
JC
Professional summary
James Chan is a registered financial professional currently at UBS SECURITIES LLC located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 2007. James has worked at 3 firms and has passed the Series 63, SIE, Series 79 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view James Chan's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
October 17, 2011 - Present
UBS SECURITIES LLC
Office #1: 11 Madison Avenue, New York, NY 10010BD
CRD#: 7654
New York, NY
Past
January 14, 2008 - June 17, 2009
OPPENHEIMER & CO. INC.
BD
CRD#: 249
NEW YORK, NY
Past
September 26, 2007 - January 14, 2008
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(5/3/2022)
RR
Alaska(5/3/2022)
RR
Arizona(5/3/2022)
RR
Arkansas(5/3/2022)
RR
California(5/3/2022)
RR
Colorado(5/3/2022)
RR
Connecticut(5/3/2022)
RR
Delaware(5/3/2022)
RR
District of Columbia(5/3/2022)
RR
Florida(5/3/2022)
RR
Georgia(5/3/2022)
RR
Hawaii(5/3/2022)
RR
Idaho(5/3/2022)
RR
Illinois(5/3/2022)
RR
Indiana(5/3/2022)
RR
Iowa(5/3/2022)
RR
Kansas(5/3/2022)
RR
Kentucky(5/3/2022)
RR
Louisiana(5/3/2022)
RR
Maine(5/3/2022)
RR
Maryland(5/3/2022)
RR
Massachusetts(5/3/2022)
RR
Michigan(5/3/2022)
RR
Minnesota(5/3/2022)
RR
Mississippi(5/3/2022)
RR
Missouri(5/3/2022)
RR
Montana(5/3/2022)
RR
Nebraska(5/3/2022)
RR
Nevada(5/3/2022)
RR
New Hampshire(5/3/2022)
RR
New Jersey(5/3/2022)
RR
New Mexico(5/3/2022)
RR
New York(10/20/2011)
RR
North Carolina(5/3/2022)
RR
North Dakota(5/3/2022)
RR
Ohio(5/3/2022)
RR
Oklahoma(5/3/2022)
RR
Oregon(5/3/2022)
RR
Pennsylvania(5/3/2022)
RR
Puerto Rico(5/3/2022)
RR
Rhode Island(5/3/2022)
RR
South Carolina(5/3/2022)
RR
South Dakota(5/3/2022)
RR
Tennessee(5/3/2022)
RR
Texas(5/3/2022)
RR
Utah(5/3/2022)
RR
Vermont(5/3/2022)
RR
Virginia(5/3/2022)
RR
Washington(5/3/2022)
RR
West Virginia(5/3/2022)
RR
Wisconsin(5/3/2022)
RR
Wyoming(5/3/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
US
UBS SECURITIES LLC
BRUNSWICK UBS WARBURG | WARBURG DILLON READ LLC | UBS WARBURG LLC | UBS SECURITIES LLC | UBS SECURITIES INC. | UBS INVESTMENT BANK
CRD#: 7654 / SEC#: 801-67178, 8-22651
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
11 Madison Avenue, New York, NY 10010
Mailing Address
1000 Harbor Boulevard, Weehawken, NJ 07086
Phone number
(201) 352-3000
Established
Delaware since 06/29/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC | MEMBER, VOTING | |
| CASAVECHIA, RICHARD MICHAEL | MANAGING DIRECTOR, SENIOR MANAGER INVESTMENT BANKING | 4732235 |
| DIMARCO, PATRICK M | CHIEF COMPLIANCE OFFICER | 4549136 |
| EBERT, MICHAEL J | PRESIDENT AND CHAIR OF THE BOARD | 4556059 |
| HAZELWOOD, TRICIA | MANAGING DIRECTOR, SENIOR MANAGER TRADING & SALES | 4232035 |
| LOFTUS, MICHAEL L | MANAGING ATTORNEY, INVESTMENT BANKING & CAPITAL MARKETS | 4176467 |
| MATTONE, RALPH MICHAEL | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| NIETO, CALLUM | PRINCIPAL OPERATIONS OFFICER | 6765482 |
| VAN TASSEL, JAMES C | MANAGING DIRECTOR, US EQUITIES RESEARCH | 2558212 |
Disclosures
| Regulatory Event | 308 |
| Civil Event | 4 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
