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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 Bartley Gibson is a financial advisor at UBS Financial Services Inc. James Bartley Gibson has been in the financial industry since May 25, 2000. James Bartley Gibson is registered with the state of Maryland as a Registered Representative and Investment Advisor Representative, and is also registered with the state of California, Nevada, and Texas as a Registered Representative. James Bartley Gibson has a Series 6, Series 7, and Series 63 license, and is also a Certified Financial Planner. James Bartley Gibson has worked at UBS Financial Services Inc. since November 2010. Before joining UBS Financial Services Inc., James Bartley Gibson worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED from September 8, 2000, to November 19, 2010. James Bartley Gibson also worked at ARAGON FINANCIAL SERVICES, INC. from March 29, 2000, to July 11, 2000.
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
MD
11/17/2010 - Present
UBS Financial Services Inc. (BALTIMORE MD)
MD
09/08/2000 - 11/19/2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BALTIMORE MD)
CA
03/29/2000 - 07/11/2000
ARAGON FINANCIAL SERVICES, INC. (IRVINE CA)
IA
Issued 09/28/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/17/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/07/2000
Series 7 - General Securities Representative Examination
BC
Issued 03/28/2000
Series 6 - Investment Company Products/Variable Contracts 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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