Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Palumbo is a financial advisor with UBS Financial Services Inc., offering financial advice since October 25, 2000. James has been registered with FINRA since April 16, 2010 and specializes in providing financial advice and portfolio management services to individuals, businesses, high-net-worth individuals, charitable organizations, pension and profit-sharing plans, corporations, and insurance companies. James previously worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated and Bedminster Financial Group, Limited. James is licensed in 21 states and the District of Columbia.
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
VA
04/16/2010 - Present
UBS Financial Services Inc. (McLean VA)
VA
12/04/2009 - 04/21/2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (RESTON VA)
PA
05/20/2008 - 11/18/2009
BEDMINSTER FINANCIAL GROUP, LIMITED (HOLICONG PA)
PA
02/04/2004 - 03/20/2006
BEDMINSTER FINANCIAL GROUP, LIMITED (HOLICONG PA)
NY
09/15/1995 - 03/08/2001
NYLIFE SECURITIES INC. (NEW YORK NY)
IA
Issued 12/30/2009
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 01/28/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/22/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/23/2010
Series 31 - Futures Managed Funds Examination
BC
Issued 11/25/2003
Series 7 - General Securities Representative Examination
BC
Issued 09/08/1995
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
Not sure James Palumbo is the right advisor for you? Invested Better is here to help.
