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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Eugene Lewis is a financial advisor who has been in the industry since 2001. He has a Series 7TO, Series 6, Series 63, and Series 65 license, along with a Series 26 principal exam. James Eugene Lewis is currently registered as a Registered Representative and Investment Adviser Representative with UBS Financial Services Inc.. Before joining UBS Financial Services Inc., James Eugene Lewis was with FIRST CITIZENS INVESTOR SERVICES, INC. James Eugene Lewis's specializations include portfolio management for individuals, businesses, and pension plans. He also offers financial planning, market timing services, and publication of periodicals.
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
05/16/2022 - Present
UBS Financial Services Inc. (WILMINGTON NC)
NC
04/10/2001 - 12/03/2021
FIRST CITIZENS INVESTOR SERVICES, INC. (RALEIGH NC)
IA
Issued 07/02/2018
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/16/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/17/2010
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 09/16/2021
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/09/2001
Series 6 - Investment Company Products/Variable Contracts 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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