Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Paine is a financial advisor at UBS Financial Services Inc. James is registered with the Securities and Exchange Commission (SEC) and has 21 years of experience in the financial services industry. James's professional experience includes Merrill Lynch, Pierce, Fenner & Smith Incorporated, Bank of America, N.A., and UBS Financial Services Inc.. James holds the Series 7 and Series 66 licenses. James is also registered in 24 states for broker-dealer activities and 4 states for investment advisor activities. James is committed to providing sound financial advice to individuals and families.
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
08/01/2024 - Present
UBS Financial Services Inc. (NEW YORK NY)
NY
11/17/2003 - 01/22/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
RI
01/01/2002 - 11/05/2003
FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)
BOTH
Issued 02/09/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/29/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/29/2001
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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