• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
JAMES EDWARD KRUG
JAMES E KRUG, JIM KRUG, JIMMY KRUG
CRD#: 1708943
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 1055 FRANKLIN AVENUE
SUITE 300
GARDEN CITY, NY 11530
Registration History
19901995200020052010201520202025IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2021 - Present (3 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2016 - Present (9 years)BMORGAN STANLEY (CRD# 149777)2009 - 2016 (6 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2003 - 2009 (6 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1990 - 2003 (13 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1987 - 1990 (2 years)
License(s)

State Registrations

B
Arizona 1/15/2016

B
New York 1/15/2016

B
Arkansas 1/15/2016

IA
New York 10/26/2021

B
California 1/15/2016

B
North Carolina 1/15/2016

B
Connecticut 9/14/2021

B
Ohio 6/15/2017

B
Delaware 1/27/2025

B
Oregon 1/15/2016

B
Florida 1/15/2016

B
Pennsylvania 7/20/2023

B
Georgia 11/15/2024

B
Rhode Island 2/6/2025

B
Hawaii 1/4/2023

B
South Carolina 1/24/2023

B
Maine 1/15/2016

B
Texas 12/4/2024

B
Maryland 5/13/2020

B
Vermont 1/15/2016

B
Massachusetts 2/10/2017

B
Virginia 1/15/2016

B
Minnesota 10/29/2019

B
Washington 1/15/2016

B
New Hampshire 11/24/2024

B
Wisconsin 3/20/2024

B
New Jersey 1/15/2016

SRO Registrations

B
BOX Exchange LLC

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
1055 FRANKLIN AVENUE SUITE 300, GARDEN CITY, NY 11530
Montauk, NY
Registered with this firm since 10/26/2021

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
1055 FRANKLIN AVENUE SUITE 300, GARDEN CITY, NY 11530
Montauk, NY
Registered with this firm since 1/15/2016

Previous Registration(s)
th hidden textth hidden textNameLocation
B
06/01/2009 - 01/20/2016 MORGAN STANLEY (CRD#:149777) GARDEN CITY, NY
B
06/13/2003 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) GARDEN CITY, NY
B
05/21/1990 - 06/16/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
08/18/1987 - 05/29/1990 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.