Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames W. Fogarty is an active Registered Investment Advisor (RIA) and Broker-Dealer (BD) professional. James W. Fogarty has been in the financial services industry for over 40 years, and currently works at UBS Financial Services Inc. in their Portsmouth, NH branch office. Prior to working at UBS Financial Services Inc., James W. Fogarty was registered with WELLS FARGO ADVISORS, LLC and MORGAN STANLEY DW INC.. James W. Fogarty is licensed to operate in 28 states and also holds licenses to provide investment advisory services.
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
NH
01/17/2024 - Present
UBS Financial Services Inc. (PORTSMOUTH NH)
NH
02/04/2005 - 10/01/2010
WELLS FARGO ADVISORS, LLC (PORTSMOUTH NH)
NY
08/04/1980 - 02/07/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
NA
09/19/1979 - 02/26/1985
USLIFE EQUITY SALES CORP.
IA
Issued 7/7/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 8/29/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/1/1993
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 3/6/1980
Series 24 - General Securities Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 9/15/1979
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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