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James Zachary Williams
James Williams, Zach Williams
CRD#: 6863329
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 INDEPENDENT SQUARE
ONE INDEPENDENT DR. Suite 1700
JACKSONVILLE, FL 32202
Registration History
20172018201920202021202220232024202520262 FIRMS2017 - 2019 (1 year)2 FIRMS2019 - Present (5 years)
License(s)

State Registrations

B
Alabama 3/14/2019

B
Michigan 3/12/2019

B
Arizona 10/11/2019

B
Missouri 10/23/2019

B
Arkansas 1/26/2024

B
New Hampshire 3/12/2019

B
California 3/12/2019

B
New Jersey 3/12/2019

B
Colorado 3/12/2019

B
New York 3/12/2019

B
Connecticut 3/12/2019

B
North Carolina 12/2/2021

B
Florida 3/12/2019

B
Ohio 11/30/2023

IA
Florida 3/18/2019

B
Pennsylvania 3/12/2019

B
Georgia 3/12/2019

B
South Carolina 3/12/2019

B
Indiana 3/12/2019

B
Tennessee 3/12/2019

B
Kansas 3/12/2019

B
Texas 3/12/2019

B
Kentucky 3/12/2019

IA
Texas 10/14/2019

B
Maine 3/12/2019

B
Virgin Islands 3/31/2023

B
Maryland 3/12/2019

B
Virginia 3/12/2019

B
Massachusetts 11/1/2019

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

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)
INDEPENDENT SQUARE ONE INDEPENDENT DR. Suite 1700, JACKSONVILLE, FL 32202
Jacksonville, FL
Registered with this firm since 3/18/2019

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
INDEPENDENT SQUARE ONE INDEPENDENT DR. Suite 1700, JACKSONVILLE, FL 32202
Jacksonville, FL
Registered with this firm since 3/12/2019

Previous Registration(s)
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IA
12/05/2017 - 03/11/2019 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) JACKSONVILLE, FL
B
10/26/2017 - 03/11/2019 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) JACKSONVILLE, FL
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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.