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Detailed Report
JAMES MICHAEL ORR
CRD#: 4287771
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 64 WILLOW PLACE
MENLO PARK, CA 94025
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2001 - Present (24 years)
License(s)

State Registrations

B
Alaska 2/9/2023
B
Michigan 8/9/2017
B
Arizona 3/7/2001
B
Missouri 8/9/2017
B
California 1/1/2001
B
Nebraska 10/27/2023
IA
California 3/2/2001
B
Nevada 4/19/2001
B
Colorado 9/19/2016
B
New Jersey 1/1/2001
B
Connecticut 5/13/2002
B
New Mexico 3/1/2022
B
Delaware 8/1/2024
B
New York 5/13/2002
B
District of Columbia 5/6/2024
B
North Carolina 4/6/2021
B
Florida 5/13/2002
B
Ohio 1/5/2024
B
Georgia 10/28/2022
B
Oklahoma 2/5/2016
B
Hawaii 8/9/2017
B
Oregon 5/13/2002
B
Idaho 2/9/2023
B
Pennsylvania 7/2/2020
B
Illinois 3/7/2001
B
South Carolina 8/9/2017
B
Indiana 2/1/2022
B
Texas 5/13/2002
B
Iowa 8/9/2017
IA
Texas 7/8/2003
B
Kansas 10/31/2019
B
Vermont 8/9/2017
B
Kentucky 8/9/2017
B
Virginia 8/9/2017
B
Louisiana 9/21/2022
B
Washington 5/13/2002
B
Maryland 9/25/2024
B
Wisconsin 8/9/2017
B
Massachusetts 3/7/2001
B
Wyoming 3/15/2023

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)
64 WILLOW PLACE, MENLO PARK, CA 94025
305 Lytton Avenue, Palo Alto, CA 94301
Registered with this firm since 3/2/2001
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
64 WILLOW PLACE, MENLO PARK, CA 94025
305 Lytton Avenue, Palo Alto, CA 94301
Registered with this firm since 1/1/2001
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.