Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames E. Abernethy is a financial advisor at UBS Financial Services Inc. James has been working in the financial services industry since 1994. James has Series 7, Series 63, Series 65, and Series 66 licenses. James's previous experience includes working at Wachovia Securities, LLC, Wachovia Securities, Inc., Wachovia Brokerage Service, Jefferson-Pilot Investor Services, Inc., DMG Securities, Inc., and F.N. Wolf & Co., Inc. James currently resides in Winston-Salem, North Carolina.
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
NC
07/12/2012 - Present
UBS Financial Services Inc. (WINSTON-SALEM NC)
MO
06/15/2002 - 12/31/2005
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NC
11/11/1999 - 06/15/2002
WACHOVIA SECURITIES, INC. (CHARLOTTE NC)
NC
01/20/1996 - 11/12/1999
WACHOVIA BROKERAGE SERVICE (WINSTON SALEM NC)
IN
03/27/1995 - 01/19/1996
JEFFERSON-PILOT INVESTOR SERVICES, INC. (FORT WAYNE IN)
VA
07/12/1994 - 02/23/1995
DMG SECURITIES, INC. (GREAT FALLS VA)
NA
06/06/1988 - 07/15/1994
F.N. WOLF & CO., INC.
BOTH
Issued 07/10/2012
Series 66 - Uniform Combined State Law Examination
IA
Issued 09/17/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/10/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/14/1990
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/22/2012
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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