Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames King is a financial advisor with UBS Financial Services Inc. James has been in the financial industry since 1988 and is licensed in several states. James's experience with MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED and Bank of America, N.A. helps James provide financial advice and guidance to clients. UBS Financial Services Inc. is a large financial services company that offers a wide range of services to clients, including investment management, financial planning, and insurance. UBS Financial Services Inc. is a reputable firm with a long history of serving clients. James is committed to providing his clients with the highest level of service and helping them 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
SC
09/28/2022 - Present
UBS Financial Services Inc. (Hilton Head SC)
DC
11/23/1988 - 09/27/2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (WASHINGTON DC)
IA
Issued 07/11/1991
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/01/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/30/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 11/19/1988
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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