Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Arthur Warta is a financial advisor with UBS Financial Services Inc. with over 20 years of experience in the industry. James has a Series 7, Series 31, Series 63, and Series 65 licenses. James has previously worked at Morgan Stanley Smith Barney, Morgan Stanley Private Bank, National Association, and Morgan Stanley & Co. Incorporated. James specializes in providing financial advice to individuals, high-net-worth individuals, businesses, pension and profit sharing plans, corporations, charitable organizations, and insurance companies. James offers a range of financial services, including portfolio management, financial planning, and investment advice. James is registered with the state of New Jersey and Texas as a broker-dealer and investment advisor.
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
02/25/2016 - Present
UBS Financial Services Inc. (PARAMUS NJ)
NJ
06/01/2009 - 03/11/2016
MORGAN STANLEY (RIDGEWOOD NJ)
NY
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (NEW YORK NY)
NY
05/21/2003 - 04/02/2007
MORGAN STANLEY DW INC. (NEW YORK NY)
NY
07/22/2002 - 05/02/2003
FAHNESTOCK & CO. INC. (NEW YORK NY)
IA
Issued 09/12/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/09/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/27/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 07/19/2002
Series 7 - General Securities 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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