Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Anthony Small is a financial advisor with UBS Financial Services Inc. James has been in the industry since 1993, serving a variety of clients including individuals, high-net-worth individuals, businesses, corporations, trusts, estates, pension and profit-sharing plans, state and municipal governments, charitable organizations and insurance companies. James is licensed to practice in Alabama, Alaska, Arizona, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nevada, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Dakota, Tennessee, Texas, Utah, Vermont, Virgin Islands, Virginia, Washington, and Wyoming.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
NV
08/10/2009 - Present
UBS Financial Services Inc. (LAS VEGAS NV)
NV
05/29/2007 - 05/28/2009
CITIGROUP GLOBAL MARKETS INC. (LAS VEGAS NV)
NV
04/14/1993 - 05/29/2007
CITICORP INVESTMENT SERVICES (LAS VEGAS NV)
NA
03/11/1992 - 06/18/1992
J. W. GANT & ASSOCIATES, INC.
IA
Issued 12/29/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/20/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/10/1992
Series 7 - General Securities Representative Examination
BC
Issued 10/24/1991
Series 3 - National Commodity Futures Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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