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JAMES LEONARD CANDELLA
JIM CANDELLA
CRD#: 4365560
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 6100 Tower Circle
Suite 100
Franklin, TN 37067
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2007 - 2007 (<1 year)2 FIRMS2007 - Present (17 years)BMORGAN STANLEY DW INC. (CRD# 7556)2001 - 2007 (5 years)IAMORGAN STANLEY (CRD# 7556)2004 - 2007 (3 years)
Disclosure(s)
View By:
5/21/2024
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 5/16/2007

B
Montana 4/6/2015

B
Arizona 1/2/2025

B
Nevada 5/10/2010

B
Arkansas 4/6/2015

B
New Hampshire 10/7/2020

B
California 5/16/2007

B
New Mexico 12/10/2018

B
Colorado 7/29/2024

B
New York 4/6/2015

B
Connecticut 5/19/2022

B
North Carolina 5/16/2007

B
Delaware 12/10/2018

B
Ohio 4/6/2015

B
District of Columbia 2/5/2024

B
Oregon 7/18/2018

B
Florida 5/16/2007

B
South Carolina 5/16/2007

B
Georgia 5/16/2007

B
Tennessee 5/16/2007

B
Indiana 8/14/2024

IA
Tennessee 5/16/2007

B
Kansas 1/4/2019

B
Texas 5/16/2007

B
Kentucky 5/16/2007

IA
Texas 5/16/2007

B
Louisiana 5/16/2007

B
Utah 12/10/2018

B
Maryland 4/6/2015

B
Virginia 5/16/2007

B
Massachusetts 8/6/2019

B
Washington 6/14/2007

B
Michigan 1/26/2009

B
West Virginia 5/16/2007

B
Mississippi 5/16/2007

B
Wisconsin 6/27/2007

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)
6100 Tower Circle Suite 100, Franklin, TN 37067
Franklin, TN
Registered with this firm since 5/16/2007

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
6100 Tower Circle Suite 100, Franklin, TN 37067
Franklin, TN
Registered with this firm since 5/16/2007

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
04/02/2007 - 05/17/2007 MORGAN STANLEY & CO., INCORPORATED (CRD#:8209) NASHVILLE, TN
B
04/02/2007 - 05/17/2007 MORGAN STANLEY & CO., INCORPORATED (CRD#:8209) NASHVILLE, TN
IA
01/22/2004 - 04/02/2007 MORGAN STANLEY (CRD#:7556) NASHVILLE, TN
B
05/02/2001 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) NASHVILLE, TN
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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.