James F. Smalley
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 Fleming Smalley JR., who also goes by James F Smalley Jr, James Fleming Smalley Jr, James Jr.,james Smalley Jr., was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1980. James had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 5, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 2013 - April 13, 2026
UBS FINANCIAL SERVICES INC.
August 1, 2013 - April 13, 2026
UBS FINANCIAL SERVICES INC.
July 1, 2003 - August 6, 2013
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - August 6, 2013
WELLS FARGO CLEARING SERVICES, LLC
August 10, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
August 10, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
July 31, 1993 - August 22, 2001
CITIGROUP GLOBAL MARKETS INC.
May 26, 1989 - July 31, 1993
LEHMAN BROTHERS INC.
March 25, 1985 - August 5, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
August 30, 1984 - April 8, 1985
CRALIN & CO., INC.
May 22, 1980 - October 26, 1984
MORGAN STANLEY DW INC.
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 5
Date: 12/11/1982
Interest Rate Options ExaminationSeries 8
Date: 9/15/1983
General Securities Sales Supervisor Examination (Options Module & General Module)Current 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 | 476 |
| Civil Event | 5 |
| Arbitration | 444 |
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.
Company Information
UBS FINANCIAL SERVICES INC.
Senior Vice President–Wealth ManagementCRD#: 8174TRUST BUT VERIFY
Monitor James Smalley
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