Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Hulburd is a financial advisor with over 40 years of experience in the financial services industry. James is currently registered with UBS Financial Services Inc., where James works with individual investors, high-net-worth clients, charitable organizations, businesses, and retirement plans. Prior to joining UBS Financial Services Inc., James has also worked with firms such as Merrill Lynch, Pierce, Fenner & Smith Incorporated, Deutsche Banc Alex. Brown Inc., DB ALEX. BROWN LLC, ALEX. BROWN & SONS INCORPORATED, CS First Boston Corporation, Smith Barney, Harris Upham & Co., Incorporated, Drexel Burnham Lambert Incorporated, and Dean Witter Reynolds Inc. James holds licenses Series 7, Series 9, Series 10, Series 63, and Series 65.
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
CA
11/18/2014 - Present
UBS Financial Services Inc. (WALNUT CREEK CA)
CA
10/18/2001 - 11/18/2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN FRANCISCO CA)
NY
01/13/2001 - 10/16/2001
DEUTSCHE BANC ALEX. BROWN INC. (NEW YORK NY)
MD
09/01/1997 - 01/13/2001
DB ALEX. BROWN LLC (BALTIMORE MD)
NA
07/09/1994 - 09/01/1997
ALEX. BROWN & SONS INCORPORATED
NY
01/12/1993 - 07/06/1994
CS FIRST BOSTON CORPORATION (NEW YORK NY)
NY
05/22/1989 - 01/14/1993
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (NEW YORK NY)
NA
05/19/1988 - 05/22/1989
DREXEL BURNHAM LAMBERT INCORPORATED
NA
04/19/1983 - 04/26/1988
DEAN WITTER REYNOLDS INC.
IA
Issued 06/15/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/26/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/04/1989
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/16/1983
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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