Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Augustine is a financial advisor with over 20 years of experience in the industry. He currently works at Rockefeller Financial LLC and has previously worked at UBS Financial Services Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. James is licensed to provide investment advice in several states and holds a Series 66, Series 10, Series 9, Series 31, Series 7 and SIE licenses. James specializes in providing financial planning, portfolio management for businesses and individuals, and pension consulting. He has a strong track record of helping clients achieve their financial goals.
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.
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.
A percentage of the total value of assets under management is charged.
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TX
04/01/2021 - Present
Rockefeller Financial LLC (San Antonio TX)
TX
09/10/2004 - 04/29/2021
UBS FINANCIAL SERVICES INC. (SAN ANTONIO TX)
NY
10/14/1998 - 09/14/2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 10/21/1998
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/08/2009
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/24/2009
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/28/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 10/05/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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