Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Bernard Lipari is a financial advisor with UBS Financial Services Inc., a firm with over 100,000 employees and over $700 billion in assets under management. James has been in the industry for over 30 years and holds Series 3, 7, 9, 10, 63 and 65 licenses. James offers a range of services including financial planning, pension consulting, educational seminars, and portfolio management for individuals and businesses. James is also a Certified Financial Planner.
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
MO
09/09/2015 - Present
UBS Financial Services Inc. (Kansas City MO)
MO
06/27/2003 - 09/08/2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (KANSAS CITY MO)
IN
10/31/2001 - 06/25/2003
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (FORT WAYNE IN)
IN
06/01/1998 - 06/25/2003
LINCOLN FINANCIAL ADVISORS CORPORATION (FORT WAYNE IN)
PA
04/11/1997 - 06/01/1998
CIGNA FINANCIAL ADVISORS,INC. (RADNOR PA)
PA
06/05/1991 - 01/22/1993
CIGNA SECURITIES, INC. (RADNOR PA)
NY
04/04/1990 - 06/10/1991
FAHNESTOCK & CO., INC. (NEW YORK NY)
NY
03/30/1989 - 01/15/1990
MONY SECURITIES CORP. (NEW YORK NY)
NY
03/30/1989 - 01/15/1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK (NEW YORK NY)
NA
03/06/1987 - 06/18/1988
THOMSON MCKINNON SECURITIES INC.
NA
07/23/1986 - 02/25/1987
BLINDER, ROBINSON & CO.,INC.
IA
Issued 07/11/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/22/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/07/2011
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/17/2011
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/19/2012
Series 3 - National Commodity Futures Examination
BC
Issued 04/10/1997
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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