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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 D. Travis is a financial advisor with UBS Financial Services Inc., a firm headquartered in Weehawken, NJ. James has been in the financial services industry since October 25, 1995. James holds Series 7, 31, and 63 licenses as well as the Series 65 and SIE exams. James has extensive experience in advising individuals, corporations, and high-net-worth clients. James is also a Certified Financial Planner. James is registered to provide financial advice in 26 states. James has previous experience working at several financial institutions including Wells Fargo Advisors, LLC, Citigroup Global Markets Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated.
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
PA
02/11/2013 - Present
UBS Financial Services Inc. (PHILADELPHIA PA)
PA
09/17/2004 - 09/23/2011
WELLS FARGO ADVISORS, LLC (PHILADELPHIA PA)
NY
11/13/2000 - 09/16/2004
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
07/29/1998 - 11/20/2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
MO
08/31/1995 - 06/02/1998
FIRST CLEARING CORPORATION (ST. LOUIS MO)
IA
Issued 08/31/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/10/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/19/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 08/30/1995
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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