Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Dawson is a financial advisor with over 19 years of experience in the industry. James is currently registered with UBS Securities LLC and UBS Financial Services Inc. in the state of New York. James's previous employers include CREDIT SUISSE SECURITIES (USA) LLC and THE BUCKINGHAM RESEARCH GROUP INCORPORATED. James holds FINRA Series 7, 16, 24, 63, 86 and 87 licenses and the SIE exam. James has passed a total of 1 state exam, 1 principal exam and 5 product exams.
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.
1
2
NY
10/16/2023 - Present
UBS Securities LLC (NEW YORK NY)
NC
09/26/2015 - 10/17/2023
CREDIT SUISSE SECURITIES (USA) LLC (RESEARCH TRIANGLE PARK NC)
NY
09/05/2003 - 10/30/2014
THE BUCKINGHAM RESEARCH GROUP INCORPORATED (NEW YORK NY)
BC
Issued 10/11/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/22/2015
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/11/2007
Series 16 - NYSE Supervisory Analyst Examination
BC
Issued 12/11/2004
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 10/22/2004
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 09/03/2003
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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