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James Poucher

President, Chief Executive Officer and Manager at UBS Asset Management (americas)

Broker registration; no current adviser registrationSEC record checked 18 October 2026

0
Past adviser firms
2
Licensing exams

IAPD record retrieved 18 October 2026SEC record

James Poucher is President, Chief Executive Officer and Manager of UBS Asset Management (americas) LLC, a New York investment adviser managing $588B. James Poucher has a current broker registration and no current investment-adviser registration and has passed the Series 99 and SIE.

Role at UBS Asset Management (americas)

Title on Schedule A
President, Chief Executive Officer and Manager
Control
James Poucher is a control person of UBS Asset Management (americas).
Ownership
An individual ownership band is not available in the source record.
Tenure
James Poucher has held the filed role since March 2024.

The firm

UBS Asset Management (americas) LLC
New York, NY

Form ADV filed 31 July 2026

$588B AUM433,784 clients260 advisers16 offices

Career on record

Firms and exams, newest first
  1. Passed SIE · 2018
  2. Passed Series 99 · 2012

Registrations and exams

Broker registration; no current adviser registration. James Poucher has passed 2 qualifying exams.

Examinations

SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 9927 July 2012
Name
Operations Professional Examination

Individual record

Full name
James Poucher
CRD
5915713
Firm
UBS Asset Management (americas) LLC
Registration status
Broker registration; no current adviser registration
Firm bio
ubs.com

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Background

UBS identifies Poucher as Head of Asset Management Transformation, Head of Asset Management Integration, and Asset Management Region Head Americas. The biography also describes previous operations leadership roles in UBS. Official firm biography

Common questions

Where does James Poucher work?

James Poucher has been President, Chief Executive Officer and Manager of UBS Asset Management (americas) LLC since March 2024, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 31 July 2026

Does James Poucher have a current investment-adviser registration?

James Poucher has a current broker registration and no current investment-adviser registration, as of 18 October 2026.

Source: IAPD individual record, checked 18 October 2026

What exams has James Poucher passed?

James Poucher has passed 2 licensing exams: the Series 99 and SIE. The earliest, the Series 99, was passed in July 2012.

Source: IAPD individual record, checked 18 October 2026

Leadership at UBS Asset Management (americas)

Sources

  1. IAPD individual record, CRD 5915713. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of UBS Asset Management (americas) LLC, filed 31 July 2026. Title, control and ownership bands.
  3. UBS Asset Management (americas) team page. Biography, education, credentials, awards.

Retrieved 18 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with James Poucher or UBS Asset Management (americas) LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.