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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Francis Peasley is a financial advisor who has been active in the financial services industry since 2006. He has held registration with both the Securities and Exchange Commission and various state regulatory agencies, including Texas and California. James Francis Peasley is currently registered with UBS Financial Services Inc., and he is a registered representative. Prior to his current affiliation, James Francis Peasley was registered with Morgan Stanley & Co. Incorporated and Morgan Stanley DW Inc. James Francis Peasley holds several securities licenses including Series 7, Series 31 and Series 66, as well as the SIE exam.
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
CA
12/22/2008 - Present
UBS Financial Services Inc. (SAN DIEGO CA)
CA
04/02/2007 - 12/15/2008
MORGAN STANLEY & CO. INCORPORATED (SAN DIEGO CA)
CA
06/30/2006 - 04/02/2007
MORGAN STANLEY DW INC. (LA MESA CA)
BOTH
Issued 07/20/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/24/2006
Series 31 - Futures Managed Funds Examination
BC
Issued 06/29/2006
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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