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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Arthur Schwarz has over 58 years of experience in the financial industry. James is currently registered with UBS Financial Services Inc. in New Jersey and Texas as a registered representative and investment advisor representative. Previously, James was with MORGAN STANLEY and CITIGROUP GLOBAL MARKETS INC. in New Jersey. James also has a number of industry certifications, including the Series 7, Series 63, Series 24, and Series 40 exams. James serves on the Investment Committee of the New Jersey Institute for Social Justice.
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
NJ
02/26/2013 - Present
UBS Financial Services Inc. (SHORT HILLS NJ)
NJ
06/01/2009 - 02/01/2013
MORGAN STANLEY (SHORT HILLS NJ)
NJ
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (SHORT HILLS NJ)
NY
05/14/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
03/13/1974 - 05/14/1988
E. F. HUTTON & COMPANY INC
NA
09/07/1965 - 09/05/1975
DUPONT WALSTON, INCORPORATED
BC
Issued 01/28/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 24 - General Securities Principal Examination
BC
Issued 05/01/1972
Series 40 - Registered Principal Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/21/1977
PC - AMEX Put and Call Exam
BC
Issued 10/12/1962
Series 1 - Registered Representative 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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