Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Patrick Mead is a financial advisor with over 30 years of experience in the industry. James is a registered representative of UBS Financial Services Inc. and has experience working with various clients including high-net-worth individuals, insurance companies, charitable organizations, pension and profit-sharing plans, corporations, and individuals. James's practice focuses on providing financial planning, portfolio management, and investment advice to individuals and businesses. In addition to his work at UBS Financial Services Inc., James has experience working at several other firms including Morgan Stanley and Wells Fargo Investments. James holds several securities licenses including Series 7, 63, 24, 53, 31, and SIE. James also holds a Series 65 license allowing him to serve as an Investment Advisor Representative for the state of Texas.
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
OR
05/05/2015 - Present
UBS Financial Services Inc. (Portalnd OR)
OR
06/01/2009 - 05/18/2015
MORGAN STANLEY (BEND OR)
OR
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (BEND OR)
OR
10/03/2003 - 04/02/2007
MORGAN STANLEY DW INC. (BEND OR)
CA
04/09/2001 - 10/10/2003
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
CA
08/19/1996 - 05/02/2001
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
NA
08/29/1995 - 08/19/1996
FIRST INTERSTATE INVESTMENTS,INC.
CA
11/23/1994 - 11/17/1995
ESSEX NATIONAL SECURITIES, INC. (NAPA CA)
NA
12/18/1991 - 11/04/1994
MASTERS CAPITAL, INC.
NA
07/09/1988 - 02/21/1990
J. T. MORAN & CO., INC.
NA
05/25/1988 - 05/31/1988
SHERWOOD CAPITAL, INC.
IA
Issued 3/11/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 8/10/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/16/1996
Series 53 - Municipal Securities Principal Examination
BC
Issued 1/10/1995
Series 24 - General Securities Principal Examination
BC
Issued 1/2/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 2/10/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 5/21/1988
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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