Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames J Suey is a financial advisor who has been in the industry since August 2003. James is registered with UBS Financial Services Inc. in Nebraska, Colorado, Idaho, New Mexico, Texas and Utah. James has previously been registered with MORGAN STANLEY SMITH BARNEY, CITIGROUP GLOBAL MARKETS INC., and SMITH HAYES FINANCIAL SERVICES CORPORATION. James is licensed to sell a variety of financial products, including stocks, bonds, mutual funds, and options. James also provides financial planning services to individuals, families, and businesses. In addition to being registered with UBS, James also runs a Peak Performance / Running Store in Omaha, NE.
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
NE
02/19/2019 - Present
UBS Financial Services Inc. (OMAHA NE)
NE
06/01/2009 - 03/21/2012
MORGAN STANLEY SMITH BARNEY (OMAHA NE)
NE
09/21/2007 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (OMAHA NE)
NE
08/05/2003 - 09/18/2007
SMITH HAYES FINANCIAL SERVICES CORPORATION (OMAHA NE)
BOTH
Issued 12/08/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/18/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/26/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/04/2003
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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