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JAMES STEVEN SHERIDAN
CRD#: 2274827
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 3390 UNIVERSITY AVENUE
RIVERSIDE, CA 92501
Registration History
19952000200520102015202020252 FIRMS2007 - 2009 (1 year)2 FIRMS2009 - Present (16 years)BMORGAN STANLEY DW INC. (CRD# 7556)1992 - 2007 (14 years)IAMORGAN STANLEY (CRD# 7556)1998 - 2007 (8 years)
License(s)

State Registrations

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Arizona 1/30/2009

B
Missouri 8/30/2024

B
California 1/30/2009

B
Montana 10/26/2021

IA
California 2/3/2009

B
Nevada 1/30/2009

B
Colorado 1/30/2009

B
New Jersey 8/30/2024

B
Delaware 10/30/2019

B
Oregon 12/18/2012

B
Idaho 1/30/2009

B
Texas 7/7/2015

B
Louisiana 10/2/2023

B
Utah 7/11/2018

B
Minnesota 1/30/2009

B
Washington 1/30/2009

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

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
3390 UNIVERSITY AVENUE, RIVERSIDE, CA 92501
Upland, CA
Registered with this firm since 2/3/2009

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
3390 UNIVERSITY AVENUE, RIVERSIDE, CA 92501
Upland, CA
Registered with this firm since 1/30/2009

Previous Registration(s)
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IA
04/02/2007 - 02/02/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) ONTARIO, CA
B
04/02/2007 - 02/02/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) ONTARIO, CA
IA
11/02/1998 - 04/02/2007 MORGAN STANLEY (CRD#:7556) ONTARIO, CA
B
10/11/1992 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) ONTARIO, CA
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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.