• 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 A YEAGER
JAMES ABRAHAM YEAGER, JAMES YEAGER, JIM YEAGER
CRD#: 5256947
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 400 S. EL CAMINO REAL
SUITE 900
SAN MATEO, CA 94402
Registration History
20082010201220142016201820202022202420262 FIRMS2007 - Present (18 years)
License(s)

State Registrations

B
Arizona 5/31/2007

B
New Hampshire 4/13/2023

B
California 2/13/2007

B
New Jersey 1/16/2018

IA
California 2/13/2007

B
New Mexico 12/13/2024

B
Colorado 2/11/2009

B
New York 5/24/2016

B
Delaware 12/10/2020

B
North Carolina 4/2/2019

B
District of Columbia 2/27/2007

B
Ohio 5/8/2020

B
Florida 11/23/2007

B
Oklahoma 1/7/2021

B
Georgia 11/9/2016

B
Oregon 5/31/2007

B
Hawaii 4/27/2010

B
Pennsylvania 2/11/2009

B
Idaho 1/9/2009

B
Rhode Island 5/21/2020

B
Illinois 6/8/2007

B
South Carolina 12/2/2021

B
Indiana 5/31/2007

B
South Dakota 4/14/2023

B
Kansas 2/27/2007

B
Tennessee 1/3/2019

B
Kentucky 5/8/2020

B
Texas 5/31/2007

B
Louisiana 2/6/2018

IA
Texas 6/18/2009

B
Maryland 5/21/2024

B
Utah 1/11/2019

B
Massachusetts 12/7/2012

B
Vermont 1/10/2011

B
Michigan 2/27/2007

B
Virginia 2/27/2007

B
Minnesota 6/8/2007

B
Washington 5/31/2007

B
Missouri 7/10/2023

B
West Virginia 5/18/2023

B
Montana 10/22/2021

B
Wisconsin 2/6/2018

B
Nebraska 4/11/2024

B
Wyoming 12/16/2020

B
Nevada 10/2/2012

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)
400 S. EL CAMINO REAL SUITE 900, SAN MATEO, CA 94402
Registered with this firm since 2/13/2007

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
400 S. EL CAMINO REAL SUITE 900, SAN MATEO, CA 94402
Registered with this firm since 1/23/2007

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.