DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

James Wayne Wilson

UBS Financial Services Inc.wirehouseWeehawken, Nj dual registrantIAPD 2580725

Feed of 09/15/2026

Also filed as Jamie Wilson

At current firm

3 y

since Aug 2, 2023

In the industry

24 y

since Aug 16, 2002 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

UBS Financial Services Inc. wirehouse current
since Aug 2, 2023 · Weehawken, Nj
Steward Partners Investment Advisory, LLC BD affiliated
Dec 7, 2020 to Aug 30, 2023 · Stamford, Ct
Morgan Stanley wirehouse
Oct 30, 2014 to Jan 5, 2021 · Baltimore, Md
UBS Financial Services Inc. wirehouse
Aug 29, 2006 to Nov 3, 2014 · Washington, Dc
Citigroup Global Markets Inc. BD affiliated
Feb 21, 2006 to Aug 10, 2006 · Bethesda, Md
Legg Mason Wood Walker, Incorporated unclassified
Oct 7, 2004 to Feb 21, 2006 · Bethesda, Md
Citigroup Global Markets Inc. BD affiliated
Jul 21, 2004 to Sep 10, 2004 · Lutherville, Md
Morgan Stanley Dw Inc. unclassified
Mar 5, 2004 to Jul 13, 2004 · Chevy Chase, Md
Legg Mason Wood Walker, Incorporated unclassified
Aug 19, 2002 to Feb 20, 2003 · Baltimore, Md

Moves

a registration end followed by a registration begin elsewhere

Steward Partners Investment Advisory, LLC to UBS Financial Services Inc.
left Aug 30, 2023, registered Aug 2, 2023 (-28 days) · Affiliated broker-dealer or bank to wirehouse
Morgan Stanley to Steward Partners Investment Advisory, LLC
left Jan 5, 2021, registered Dec 7, 2020 (-29 days) · Wirehouse to independent RIA
UBS Financial Services Inc. to Morgan Stanley
left Nov 3, 2014, registered Oct 30, 2014 (-4 days) · Wirehouse to wirehouse
Citigroup Global Markets Inc. to UBS Financial Services Inc.
left Aug 10, 2006, registered Aug 29, 2006 (19 days) · Other
Legg Mason Wood Walker, Incorporated to Citigroup Global Markets Inc.
left Feb 21, 2006, registered Feb 21, 2006 (0 days) · corporate re-registration, not a move
Citigroup Global Markets Inc. to Legg Mason Wood Walker, Incorporated
left Sep 10, 2004, registered Oct 7, 2004 (27 days) · Other
Morgan Stanley Dw Inc. to Citigroup Global Markets Inc.
left Jul 13, 2004, registered Jul 21, 2004 (8 days) · Other
Legg Mason Wood Walker, Incorporated to Morgan Stanley Dw Inc.
left Feb 20, 2003, registered Mar 5, 2004 (379 days) · Other

Signals

James Wayne Wilson left Steward Partners Investment Advisory, Llc for Ubs Financial Services Inc. (registered 2023-08-02)
Aug 30, 2023 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Wirehousederived
Years in industry: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address