Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Richard Augir is a financial advisor with UBS Financial Services Inc. James is a registered investment advisor in New York. James has been working in the financial services industry since 2003. James has experience with Citigroup Global Markets Inc. and Morgan Stanley Smith Barney. James is a Series 7, 24, 63, 79TO, and SIE licensed individual. James is currently registered with UBS Financial Services Inc. in New York. James specializes in Portfolio Management for Individuals, Portfolio Management for Businesses, Pension Consulting, Financial Planning, Selection of Other Advisers, Publication of Periodicals, and Educational 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
10/26/2021 - Present
UBS Financial Services Inc. (New York NY)
NY
06/01/2009 - 09/10/2015
MORGAN STANLEY (PURCHASE NY)
NY
01/24/2006 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
09/23/1996 - 02/02/1998
NATWEST SECURITIES CORPORATION (NEW YORK NY)
NY
09/30/1994 - 11/18/1994
JOSEPHTHAL LYON & ROSS INCORPORATED (NEW YORK NY)
NY
04/05/1994 - 10/26/1994
D. BLECH & COMPANY, INCORPORATED (NEW YORK NY)
NY
07/16/1993 - 10/19/1993
OPPENHEIMER & CO., INC. (NEW YORK NY)
NY
12/18/1992 - 07/15/1993
D. H. BLAIR & CO., INC. (NEW YORK NY)
BC
Issued 5/1/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 7/1/2009
Series 24 - General Securities Principal Examination
BC
Issued 1/2/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 1/23/2006
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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