• 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 B BERNARD DALEY JR
JAMES B DALEY JR, JAMES B DALEY, JAMES BERNARD DALEY JR, JIM DALEY
CRD#: 1748286
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 411 SOUTH STATE ST.
NEWTOWN, PA 18940
Registration History
19901995200020052010201520202025IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2002 - Present (23 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)1995 - Present (30 years)BKIDDER, PEABODY & CO. INCORPORATED (CRD# 7613)1994 - 1995 (<1 year)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1988 - 1994 (6 years)
Disclosure(s)
View By:
3/8/2002
Customer Dispute
Settled
2/7/2002
Customer Dispute
Settled
1/2/2002
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 9/10/1999

IA
New Jersey 1/31/2019

B
California 3/12/2019

B
New York 1/28/1995

B
Colorado 11/11/2019

B
North Carolina 1/28/1995

B
Connecticut 9/18/1998

B
Ohio 1/7/2019

B
Delaware 9/12/2005

B
Pennsylvania 1/28/1995

B
District of Columbia 11/7/2017

IA
Pennsylvania 9/5/2012

B
Florida 1/28/1995

B
Rhode Island 7/14/2004

B
Georgia 10/19/2016

B
South Carolina 1/30/2019

B
Illinois 4/27/2022

IA
South Carolina 10/25/2021

B
Indiana 1/12/2010

B
South Dakota 5/13/2024

B
Maryland 8/5/2014

B
Texas 1/4/2002

B
Massachusetts 9/18/1998

IA
Texas 1/4/2002

B
Michigan 2/10/2021

B
Virginia 1/28/1995

B
Nevada 2/10/2023

B
Wyoming 1/18/2024

B
New Jersey 1/28/1995

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)
411 SOUTH STATE ST., NEWTOWN, PA 18940
411 SOUTH STATE STREET, NEWTOWN, PA 18940
Registered with this firm since 1/4/2002

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
411 SOUTH STATE ST., NEWTOWN, PA 18940
411 SOUTH STATE STREET, NEWTOWN, PA 18940
Registered with this firm since 1/28/1995

Previous Registration(s)
th hidden textth hidden textNameLocation
B
02/17/1994 - 01/28/1995 KIDDER, PEABODY & CO. INCORPORATED (CRD#:7613) NEW YORK, NY
B
04/28/1988 - 04/11/1994 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) 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.