Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Edward Carey is a financial advisor with UBS Financial Services Inc., working in the financial services industry since 1989. James holds Series 7 and Series 66 licenses and has registrations in 29 states. James has over 30 years of experience and is committed to providing personalized financial advice to help clients achieve their financial goals. James has extensive experience with individuals, businesses, high-net-worth individuals, pension and profit-sharing plans, insurance companies, charitable organizations, and more. UBS Financial Services Inc. is a large, established firm, with over $700 billion in regulatory assets under management.
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
FL
01/01/2010 - Present
UBS Financial Services Inc. (WEST PALM BEACH FL)
NY
09/18/2009 - 01/01/2010
UBS INTERNATIONAL INC. (NEW YORK NY)
NY
08/31/2004 - 09/23/2009
UBS FINANCIAL SERVICES INC. (NEW YORK NY)
NY
04/24/1991 - 09/08/2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NA
03/14/1977 - 04/01/1978
G. A. THOMPSON SECURITIES CORPORATION
NA
04/14/1976 - 12/10/1976
DILLON, READ & CO. INC.
BOTH
Issued 03/15/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/19/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/23/1991
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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