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 Dean is a financial advisor at UBS Financial Services Inc. James has been in the financial services industry since 1982 and is registered with FINRA as a general securities representative. James has experience in providing financial advice to individuals and businesses. James holds a Series 7, Series 3, Series 9, Series 10, and Series 63 license.
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
NM
03/30/2001 - Present
UBS Financial Services Inc. (SANTA FE NM)
NY
04/29/1982 - 04/03/2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BC
Issued 05/05/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/26/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/01/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/29/2008
Series 3 - National Commodity Futures Examination
BC
Issued 04/17/1982
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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