Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James b? Claim Your ProfileJames Daley is a financial advisor who has been in the industry since 1988. James is currently registered with UBS Financial Services Inc. and has held previous positions with Kidder, Peabody & Co. Incorporated and Prudential Securities Incorporated. James is a licensed securities agent in several states, and a registered investment advisor in New Jersey, Pennsylvania, South Carolina and Texas. James has a strong track record of success in the financial services industry, and is committed to providing his clients with personalized financial advice and guidance.
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
PA
01/04/2002 - Present
UBS Financial Services Inc. (NEWTOWN PA)
NY
02/17/1994 - 01/28/1995
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
NY
04/28/1988 - 04/11/1994
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 12/31/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/17/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/20/1988
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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