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 Krug is a financial advisor with over 30 years of experience in the industry. James currently works at UBS Financial Services Inc., and has been with the firm since January 2016. James has also held positions at Morgan Stanley, Citigroup Global Markets Inc., Prudential Securities Incorporated and Merrill Lynch, Pierce, Fenner & Smith Incorporated. James is registered to provide investment advice in a number of states, including New York, New Jersey, California, Florida, Arizona, Arkansas, Connecticut, Hawaii, Maine, Maryland, Massachusetts, Minnesota, North Carolina, Ohio, Oregon, Pennsylvania, South Carolina, Vermont, Virginia, Washington, and Wisconsin.
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
10/26/2021 - Present
UBS Financial Services Inc. (Montauk NY)
NY
06/01/2009 - 01/20/2016
MORGAN STANLEY (GARDEN CITY NY)
NY
06/13/2003 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (GARDEN CITY NY)
NY
05/21/1990 - 06/16/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
08/18/1987 - 05/29/1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BC
Issued 09/03/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/15/1987
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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