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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 C. Riley is a financial advisor with over 29 years of experience in the industry. James is registered with UBS Financial Services Inc., where he has worked since September 2014. James previously worked for MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED from September 1994 to September 2014. James is registered with the Securities and Exchange Commission and the Financial Industry Regulatory Authority. James specializes in providing financial advice to individuals, businesses, and charitable organizations. James is also a member of the Board of Regents at Servite High School.
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
02/12/2019 - Present
UBS Financial Services Inc. (NEWPORT BEACH CA)
CA
09/09/1994 - 09/10/2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (IRVINE CA)
IA
Issued 11/08/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/28/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/03/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 07/31/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/21/2013
Series 3 - National Commodity Futures Examination
BC
Issued 09/08/1994
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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