Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Brian Cain is a financial advisor with over 30 years of experience in the financial services industry. James is currently registered with UBS Financial Services Inc. and holds licenses including Series 7, 9, 10, 63 and 65. James has previously worked with Merrill Lynch, Pierce, Fenner & Smith Incorporated, BANC of America Investment Services, Inc., Prudential Securities Incorporated, Paine Webber Incorporated and Dean Witter Reynolds Inc. James' experience includes advising high-net-worth individuals, corporations and other businesses, charitable organizations, pension and profit-sharing plans, state or municipal government entities, and pooled investment vehicles.
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
CA
08/16/2011 - Present
UBS Financial Services Inc. (BEVERLY HILLS CA)
CA
10/23/2009 - 08/17/2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (LOS ANGELES CA)
CA
04/21/2003 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (LOS ANGELES CA)
NY
04/29/1998 - 04/22/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NJ
07/06/1992 - 04/03/1998
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
09/03/1987 - 07/10/1992
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 09/24/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/24/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/01/1993
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/20/1987
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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