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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 Degoler is an investment advisor representative with UBS Financial Services Inc., based in Kansas City, MO. James has been working in the financial services industry since August 20, 1986. James has a strong track record of experience, working with various clients, including high-net-worth individuals, corporations, charitable organizations, and pension and profit-sharing plans. James offers a range of financial services, including financial planning, portfolio management, pension consulting, and educational seminars. James is registered with the Financial Industry Regulatory Authority (FINRA) and holds multiple securities licenses and certifications. James is committed to providing comprehensive financial advice and helping clients reach 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.
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
MO
07/08/2003 - Present
UBS Financial Services Inc. (Kansas City MO)
NY
08/21/1986 - 01/28/1995
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
IA
Issued 12/26/1991
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/29/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/20/1993
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/12/2010
Series 31 - Futures Managed Funds Examination
BC
Issued 08/16/1986
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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