Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames F. Foard Jr. is an active investment advisor representative. James has been in the securities industry since 2000. James currently works for UBS Financial Services Inc. Previously, James worked for PRUDENTIAL SECURITIES INCORPORATED from 2000 to 2002. James has passed the Series 63, 65, 7, and SIE exams. James is registered in multiple states and has a total of 37 state registrations and one IA state registration. James is also registered with FINRA and has 10 approved SRO registrations. James has a variety of specializations including retirement planning, mutual funds, annuities, stocks, bonds, and insurance. James has experience working with individuals, corporations, and charitable organizations. James is a member of the board of directors for Pathlight Inc.
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
MA
03/03/2010 - Present
UBS Financial Services Inc. (SPRINGFIELD MA)
NY
04/04/2000 - 06/06/2002
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 12/28/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/14/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/03/2000
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
Not sure James Foard jr. is the right advisor for you? Invested Better is here to help.
