Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Aubrey Crawford is a financial advisor currently registered with UBS Financial Services Inc. James has been in the financial industry since 1969 and has worked for several firms throughout their career including RAYMOND JAMES FINANCIAL SERVICES, INC., ROBERT THOMAS SECURITIES, INC, INVESTMENT MANAGEMENT & RESEARCH, INC and CIGNA SECURITIES, INC. James currently holds Series 7TO, Series 6TO, Series 22TO, Series 63, Series 51, Series 24 and SIE licenses. James provides financial planning, portfolio management for businesses and individuals, pension consulting, educational seminars, and publication of periodicals.
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
CT
04/11/2022 - Present
UBS Financial Services Inc. (NEW LONDON CT)
CT
01/04/1999 - 03/31/2015
RAYMOND JAMES FINANCIAL SERVICES, INC. (NEW LONDON CT)
FL
07/25/1994 - 01/04/1999
ROBERT THOMAS SECURITIES, INC (ST. PETERSBURG FL)
FL
08/31/1990 - 07/25/1994
INVESTMENT MANAGEMENT & RESEARCH, INC (ST. PETERSBURG FL)
PA
04/28/1969 - 09/12/1990
CIGNA SECURITIES, INC. (RADNOR PA)
IA
Issued 06/07/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/02/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/20/2003
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 02/15/1985
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 01/02/2023
Series 22TO - Direct Participation Programs Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/23/1969
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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