James M. Brown
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 Michael Brown was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1972. James had worked at 6 firms and has passed the Series 63, Series 15, PC, Series 1, Series 53, Series 4, Series 24 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 1997 - April 9, 2008
UBS FINANCIAL SERVICES INC.
April 9, 1985 - April 5, 2012
UBS FINANCIAL SERVICES INC.
January 22, 1985 - January 28, 1985
UBS FINANCIAL SERVICES INC.
May 24, 1983 - January 25, 1985
SUTRO & CO. INCORPORATED
July 2, 1981 - May 31, 1983
KIDDER, PEABODY & CO. INCORPORATED
January 31, 1980 - July 26, 1981
UBS FINANCIAL SERVICES INC.
September 17, 1976 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
July 8, 1975 - October 7, 1976
SECURITIES WEST, INC.
May 9, 1973 - August 16, 1975
BLYTH EASTMAN DILLON & CO. INCORPORATED
July 7, 1972 - May 9, 1973
SHEARSON, HAMMILL & CO., INCORPORATED
Primary Firm SEC Registration
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
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
Series 15
Date: 7/17/1986
Foreign Currency Options ExaminationPC
Date: 9/1/1979
AMEX Put and Call ExamSeries 1
Date: 7/7/1972
Registered Representative ExaminationSeries 12
Date: 2/15/1977
NYSE Branch Manager ExaminationCurrent Firm
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC. | OWNER | |
| CAMACHO, MICHAEL ALAN | PRESIDENT | 2907298 |
| FRANCOMANO, LISA M. | CHIEF COMPLIANCE OFFICER FOR THE ADVISORY BUSINESS | 2263875 |
| MATTONE, RALPH | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| MOZER, PETER | MANAGING DIRECTOR | 2523858 |
| MUNFA, LAUREN | CHIEF COMPLIANCE OFFICER | 4431011 |
| SAKAI, KIYE | GENERAL COUNSEL | 7451987 |
| SOMMA, JOSEPH | PRINCIPAL OPERATIONS OFFICER | 2219496 |
Regulatory assets under management
| Total Number of Accounts | 1,134,923 |
| AUM (Assets Under Management) | $ 808,822,670,899 |
Disclosures
| Regulatory Event | 475 |
| Civil Event | 5 |
| Arbitration | 443 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/26/2025 | ||
| 05/15/2024 | ||
| 12/19/2023 |
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.
