Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Herring is a financial advisor with UBS Financial Services Inc. James has been in the industry since February 12, 1990. James has a wide range of experience in the financial services industry, including experience at Goldman Sachs & Co. LLC. James is licensed in multiple states and holds a variety of licenses and certifications, including Series 3, 7, 8, 9, 10, 57TO, 63, 65, and 66. James provides a variety of financial services, including investment advisory services, financial planning, portfolio management, and education seminars.
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
NY
10/02/2024 - Present
UBS Financial Services Inc. (NEW YORK NY)
NY
02/13/1990 - 08/05/2024
GOLDMAN SACHS & CO. LLC (NEW YORK NY)
BOTH
Issued 07/17/2024
Series 66 - Uniform Combined State Law Examination
IA
Issued 01/21/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/26/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/26/1994
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/16/1990
Series 3 - National Commodity Futures Examination
BC
Issued 02/10/1990
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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