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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 Douglas Matthews is a financial advisor at UBS Financial Services Inc. James has been in the financial industry since 1973. James has a broad range of experience in the financial services industry. James is registered with the state of Texas as both a broker-dealer and an investment advisor. James specializes in providing financial advice to individuals, businesses, and institutions. James is registered with the following states: California, Colorado, Florida, Indiana, Louisiana, Michigan, Ohio, Pennsylvania, Texas, Virginia, and Washington.
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
TX
08/14/2000 - Present
UBS Financial Services Inc. (HOUSTON TX)
NY
03/29/1999 - 08/14/2000
J.C. BRADFORD & CO. (NEW YORK NY)
NY
06/05/1991 - 04/01/1999
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
03/31/1987 - 06/07/1991
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
07/09/1986 - 03/17/1987
LOVETT MITCHELL WEBB & GARRISON, INC.
NA
02/27/1984 - 06/23/1986
RAUSCHER PIERCE REFSNES, INC.
NA
05/28/1981 - 02/21/1984
SCHNEIDER, BERNET & HICKMAN, INC.
NA
04/03/1979 - 06/22/1981
RAUSCHER PIERCE REFSNES, INC.
NA
01/18/1978 - 05/23/1979
LOEB PARTNERS
NA
01/04/1977 - 01/18/1978
LOEB RHOADES & CO. INC.
NA
03/27/1974 - 01/04/1977
LOEB, RHOADES & CO. INC.
NA
02/01/1973 - 03/22/1974
RAUSCHER PIERCE SECURITIES CORPORATION
IA
Issued 11/07/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/28/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/05/1981
Series 5 - Interest Rate Options Examination
BC
Issued 06/01/1977
PC - AMEX Put and Call Exam
BC
Issued 01/23/1973
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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