Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Van tassel has over 20 years of experience in the financial services industry. James Van tassel is currently registered with UBS Securities LLC and holds a Series 7, Series 24, Series 3, Series 63, Series 65, Series 87, and SIE. Prior to joining UBS Securities LLC, James Van tassel was previously registered with Sanford C. Bernstein & Co., LLC, Gerard Klauer Mattison & Co., Inc., Morgan Stanley & Co., Incorporated, Advest, Inc., Ladenburg, Thalmann & Co., Inc., and Cantor Fitzgerald Securities.
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.
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.
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2
NY
03/01/2017 - Present
UBS Securities LLC (NEW YORK NY)
NY
10/05/2007 - 07/23/2015
SANFORD C. BERNSTEIN & CO., LLC (NEW YORK NY)
NY
07/02/2002 - 02/01/2007
SANFORD C. BERNSTEIN & CO., LLC (NEW YORK NY)
NY
09/24/2001 - 01/05/2002
GERARD KLAUER MATTISON & CO., INC. (NEW YORK NY)
NY
09/26/2000 - 09/18/2001
MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)
CT
12/19/1997 - 08/27/1998
ADVEST, INC. (HARTFORD CT)
NY
01/20/1997 - 12/16/1997
LADENBURG, THALMANN & CO., INC. (NEW YORK NY)
NY
10/28/1994 - 07/25/1995
CANTOR FITZGERALD SECURITIES (NEW YORK NY)
IA
Issued 10/11/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/16/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/08/2017
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/19/2017
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 10/06/2000
Series 3 - National Commodity Futures Examination
BC
Issued 02/13/1995
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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