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West James Bowler
CRD#: 6718153
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 555 CALIFORNIA ST
34TH, 36TH & 46TH FLOORS
SAN FRANCISCO, CA 94104
Registration History
20172018201920202021202220232024202520262 FIRMS2018 - Present (6 years)BMORGAN STANLEY (CRD# 149777)2017 - 2018 (<1 year)
License(s)

State Registrations

B
Alabama 1/23/2019

B
Nebraska 1/23/2019

B
Alaska 1/23/2019

B
Nevada 1/23/2019

B
Arizona 4/18/2018

B
New Hampshire 1/23/2019

B
Arkansas 1/23/2019

B
New Jersey 4/18/2018

B
California 4/13/2018

B
New Mexico 1/23/2019

IA
California 4/13/2018

B
New York 4/18/2018

B
Colorado 4/18/2018

B
North Carolina 4/18/2018

B
Connecticut 4/18/2018

B
North Dakota 1/23/2019

B
Delaware 5/21/2018

B
Ohio 4/18/2018

B
District of Columbia 1/23/2019

B
Oklahoma 1/23/2019

B
Florida 4/18/2018

B
Oregon 5/21/2018

B
Georgia 4/18/2018

B
Pennsylvania 4/18/2018

B
Hawaii 5/21/2018

B
Puerto Rico 1/23/2019

B
Idaho 1/23/2019

B
Rhode Island 1/23/2019

B
Illinois 4/18/2018

B
South Carolina 1/23/2019

B
Indiana 1/23/2019

B
South Dakota 1/23/2019

B
Iowa 1/23/2019

B
Tennessee 1/23/2019

B
Kansas 1/23/2019

B
Texas 4/18/2018

B
Kentucky 1/23/2019

IA
Texas 1/30/2023

B
Louisiana 1/23/2019

B
Utah 4/18/2018

B
Maine 1/23/2019

B
Vermont 1/23/2019

B
Maryland 4/18/2018

B
Virgin Islands 1/23/2019

B
Massachusetts 4/18/2018

B
Virginia 1/23/2019

B
Michigan 4/18/2018

B
Washington 4/18/2018

B
Minnesota 4/18/2018

B
West Virginia 1/23/2019

B
Mississippi 1/23/2019

B
Wisconsin 1/23/2019

B
Missouri 1/23/2019

B
Wyoming 1/23/2019

B
Montana 1/23/2019

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

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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)
555 CALIFORNIA ST 34TH, 36TH & 46TH FLOORS, SAN FRANCISCO, CA 94104
555 CALIFORNIA STREET 32ND FLOOR/ SUITE 3200, SAN FRANCISCO, CA 94104
Registered with this firm since 4/13/2018

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
555 CALIFORNIA ST 34TH, 36TH & 46TH FLOORS, SAN FRANCISCO, CA 94104
555 CALIFORNIA STREET 32ND FLOOR/ SUITE 3200, SAN FRANCISCO, CA 94104
Registered with this firm since 3/20/2018

Previous Registration(s)
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B
09/11/2017 - 03/14/2018 MORGAN STANLEY (CRD#:149777) SAN RAFAEL, 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.