Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Francis Leen is a financial advisor at UBS Financial Services Inc. James has been in the financial services industry since 1982. James is a registered representative with the state of Florida and New Jersey. James has a Series 6, 7, 63, and 65 licenses as well as the SIE exam. UBS Financial Services Inc. is a large, well-established firm with over $700 Billion in assets under management. The firm offers a wide range of financial services to individuals, businesses, and institutions. James is dedicated to providing personalized financial advice and investment management services to help clients achieve their financial goals.
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
01/28/1995 - Present
UBS Financial Services Inc. (WEST PALM BEACH FL)
NY
11/15/1993 - 01/28/1995
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
FL
03/03/1989 - 11/18/1993
BARNETT INVESTMENTS, INC. (JACKSONVILLE FL)
NA
12/23/1987 - 04/15/1989
BARNETT BOND SERVICE, INC.
NA
11/06/1986 - 05/06/1988
E. F. HUTTON & COMPANY INC
NA
09/04/1986 - 11/12/1986
MCLAUGHLIN, PIVEN, VOGEL INC.
NA
12/10/1985 - 05/08/1986
BUTCHER & SINGER INC.
NA
06/22/1983 - 05/31/1985
GABRIELE, HUEGLIN & CASHMAN INC.
NA
07/13/1981 - 05/16/1983
H. C. COPELAND AND ASSOCIATES EQUITIES, INC.
IA
Issued 08/07/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/12/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/18/1983
Series 7 - General Securities Representative Examination
BC
Issued 07/09/1981
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
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