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James Bockstahler
JAMES E BOCKSTAHLER, JAMES E BOOKSTAHLER
CRD#: 6721763
IA
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UBS FINANCIAL SERVICES INC.CRD#: 8174 ONE STATE STREET
16TH FLOOR
HARTFORD, CT 06103
16TH FLOOR
HARTFORD, CT 06103
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Disclosures
8
Years of Experience
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State Registrations
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Connecticut 2/25/2025
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New York 2/25/2025
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Connecticut 2/25/2025
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Oregon 2/28/2025
SRO Registrations
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Registered with this firm since 2/25/2025
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Registered with this firm since 2/25/2025
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/08/2020 - 03/06/2025 | West Hartford, CT | |
B | 12/08/2020 - 03/06/2025 | West Hartford, CT | |
IA | 03/29/2017 - 10/22/2020 | Columbus, OH | |
B | 02/01/2017 - 10/22/2020 | Columbus, OH | |
B | 12/19/2016 - 01/19/2017 | COLUMBUS, OH |
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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.
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.