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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 Donnell Klein is a financial advisor with UBS Financial Services Inc. James has been in the industry since 1967. James has a number of professional licenses and certifications, including Series 7, 63, 24, 10, 9, 53, 4, 40, 12, 52, and SIE, and has a strong track record of success. James has worked for UBS since September 2005 and previously worked for PAINE, WEBBER, JACKSON & CURTIS INCORPORATED. James works with a variety of clients, including individuals, families, businesses, trusts, and institutions. James specializes in providing financial planning, investment management, and retirement planning services.
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
CA
07/16/2002 - Present
UBS Financial Services Inc. (SAN FRANCISCO CA)
NA
12/05/1967 - 01/31/1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
IA
Issued 04/04/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/30/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/02/2023
Series 4 - Registered Options Principal Examination
BC
Issued 05/29/1975
Series 40 - Registered Principal Examination
BC
Issued 05/27/1975
Series 12 - NYSE Branch Manager Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/23/1983
Series 15 - Foreign Currency Options Examination
BC
Issued 10/09/1981
Series 5 - Interest Rate Options Examination
BC
Issued 02/26/1980
PC - AMEX Put and Call Exam
BC
Issued 12/04/1967
Series 1 - Registered 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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