Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Chan is a financial professional with over 15 years of experience in the securities industry. James is currently registered with UBS Securities LLC and has been with the firm since 2011. Previously, James worked at Oppenheimer & Co. Inc. and CIBC World Markets Corp. James is licensed to sell securities in 52 states, including New York. James holds the Series 7, 79 and 63 securities licenses as well as the Securities Industry Essentials (SIE) exam.
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
10/17/2011 - Present
UBS Securities LLC (New York NY)
NY
01/14/2008 - 06/17/2009
OPPENHEIMER & CO. INC. (NEW YORK NY)
NY
09/26/2007 - 01/14/2008
CIBC WORLD MARKETS CORP. (NEW YORK NY)
BC
Issued 10/19/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/15/2011
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 09/25/2007
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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