Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Fleming Smalley is a financial advisor at UBS Financial Services Inc. James has been in the industry since 1980, and has experience with both broker-dealer and investment advisory roles. James holds Series 3, 5, 7, 9, 10, 63, and 65 licenses. James has extensive experience with multiple financial products and services. Before working at UBS Financial Services Inc., James worked at WELLS FARGO ADVISORS, LLC, PRUDENTIAL SECURITIES INCORPORATED, SALOMON SMITH BARNEY INC., LEHMAN BROTHERS INC., DREXEL BURNHAM LAMBERT INCORPORATED, CRALIN & CO., INC., and DEAN WITTER REYNOLDS INC.. James is currently registered with FINRA and the states of Florida and Texas. James also owns a number of rental properties and investments in real estate and cell towers.
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
FL
08/01/2013 - Present
UBS Financial Services Inc. (Winter Park FL)
FL
07/01/2003 - 08/06/2013
WELLS FARGO ADVISORS, LLC (ORLANDO FL)
NY
08/10/2001 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
07/31/1993 - 08/22/2001
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
05/26/1989 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
03/25/1985 - 08/05/1989
DREXEL BURNHAM LAMBERT INCORPORATED
NA
08/30/1984 - 04/08/1985
CRALIN & CO., INC.
NA
05/22/1980 - 10/26/1984
DEAN WITTER REYNOLDS INC.
IA
Issued 12/24/1991
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/16/1980
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 09/15/1983
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/03/1985
Series 3 - National Commodity Futures Examination
BC
Issued 12/11/1982
Series 5 - Interest Rate Options Examination
BC
Issued 05/17/1980
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 Smalley is the right advisor for you? Invested Better is here to help.
