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 Condolff is an investment advisor representative, registered with UBS Financial Services Inc. James has been in the securities industry since 1991. James has been associated with UBS Financial Services Inc. since November 2021. James has previously been registered with Wells Fargo Clearing Services, LLC, Morgan Stanley, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Citigroup Global Markets Inc., Citicorp Investment Services, Citicorp Financial Services,INC., Landmark Brokerage Services, INC., New England Securities Corporation, Olde Discount Corporation and W.J. Nolan & Company, INC.. James has passed the Uniform Securities Agent State Law Examination, Uniform Combined State Law Examination, General Securities Principal Examination, Securities Industry Essentials Examination, and General Securities Representative Examination. James also holds licenses for the state of New York.
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
NY
11/13/2021 - Present
UBS Financial Services Inc. (New York NY)
NJ
01/27/2016 - 10/25/2021
WELLS FARGO CLEARING SERVICES, LLC (PARAMUS NJ)
NY
04/10/2013 - 12/18/2015
MORGAN STANLEY (PURCHASE NY)
NY
05/18/2007 - 06/04/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
02/10/2003 - 04/05/2007
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
12/01/1999 - 02/06/2003
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
NY
06/01/1992 - 12/31/1997
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
NA
01/25/1991 - 06/01/1992
CITICORP FINANCIAL SERVICES,INC.
NA
02/27/1989 - 08/21/1989
LANDMARK BROKERAGE SERVICES, INC.
NY
05/02/1988 - 02/25/1989
NEW ENGLAND SECURITIES CORPORATION (NEW YORK NY)
MI
11/12/1987 - 05/07/1988
OLDE DISCOUNT CORPORATION (DETROIT MI)
NA
04/23/1986 - 07/09/1987
W.J. NOLAN & COMPANY, INC.
BOTH
Issued 09/04/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/08/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/31/2014
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/19/1986
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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