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James Donald Schade
JAMES D SCHADE, JAMIE SCHADE
CRD#: 3135108
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 3601 Rigby Road
Suite 500
Miamisburg, OH 45342
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2018 - Present (6 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1998 - 2018 (19 years)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1999 - 2018 (19 years)
License(s)

State Registrations

B
Alabama 10/11/2018

B
Missouri 10/5/2018

B
Alaska 1/6/2022

B
Montana 10/5/2018

B
Arizona 10/5/2018

B
Nevada 10/22/2021

B
Arkansas 9/22/2021

B
New Hampshire 9/28/2022

B
California 10/5/2018

B
New Jersey 10/5/2018

B
Colorado 10/5/2018

B
New York 10/5/2018

B
Florida 10/5/2018

B
North Carolina 10/5/2018

IA
Florida 2/13/2023

B
Ohio 10/5/2018

B
Georgia 1/5/2021

IA
Ohio 10/5/2018

B
Illinois 10/5/2018

B
Oregon 10/5/2018

B
Indiana 10/5/2018

B
Pennsylvania 10/5/2018

B
Kansas 10/3/2024

B
South Carolina 10/5/2018

B
Kentucky 10/5/2018

B
Tennessee 10/5/2018

B
Maine 10/5/2018

B
Texas 10/5/2018

B
Maryland 1/5/2021

IA
Texas 10/5/2018

B
Massachusetts 3/29/2019

B
Virginia 10/5/2018

B
Michigan 10/5/2018

B
Washington 10/5/2018

B
Minnesota 1/5/2021

B
Wisconsin 10/5/2018

B
Mississippi 12/5/2024

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)
3601 Rigby Road Suite 500, Miamisburg, OH 45342
Dayton, OH
Registered with this firm since 10/5/2018

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
3601 Rigby Road Suite 500, Miamisburg, OH 45342
Dayton, OH
Registered with this firm since 10/5/2018

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
08/13/1999 - 10/09/2018 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) MIAMISBURG, OH
B
12/03/1998 - 10/09/2018 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) MIAMISBURG, OH
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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.