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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 Leonard is a financial advisor with over 25 years of experience in the industry. James holds Series 63, 65 and 66 licenses and is registered in 27 states. James is currently employed with UBS Financial Services Inc. and previously worked for Morgan Stanley and Wells Fargo Advisors. James specializes in providing financial advice and services to individuals, businesses, corporations, charitable organizations, and pension and profit sharing plans. James's clients have a wide range of financial needs, including retirement planning, investment management, and estate planning.
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
NC
05/17/2016 - Present
UBS Financial Services Inc. (RALEIGH NC)
NC
01/21/2011 - 09/29/2015
MORGAN STANLEY (CARY NC)
NC
10/01/2000 - 01/25/2011
WELLS FARGO ADVISORS, LLC (CARY NC)
NC
07/20/2000 - 10/01/2000
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
NC
03/17/1998 - 07/20/2000
EVERGREEN INVESTMENT SERVICES, INC. (CHARLOTTE NC)
NY
04/11/1996 - 02/11/1998
SMITH BARNEY INC. (NEW YORK NY)
MD
06/22/1994 - 03/27/1996
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
NY
04/20/1994 - 06/24/1994
SMITH BARNEY INC. (NEW YORK NY)
BOTH
Issued 04/10/2003
Series 66 - Uniform Combined State Law Examination
IA
Issued 03/04/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/29/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/18/1994
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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