Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Jones is a financial advisor with UBS Financial Services Inc. James is a registered representative with the state of Texas and has been in the industry since January 17, 2001. James is also a Registered Investment Advisor in the state of Texas. James is located in San Angelo, Texas and has offices in San Angelo and Midland, Texas. UBS Financial Services Inc. is a full-service brokerage and investment advisory firm with over $700 Billion in assets under management.
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
TX
04/16/2004 - Present
UBS Financial Services Inc. (San Angelo TX)
WI
01/10/2002 - 04/19/2004
INVESTMENT CENTERS OF AMERICA, INC. (APPLETON WI)
MO
01/12/2001 - 01/03/2002
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
BOTH
Issued 06/25/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/09/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/14/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 01/11/2001
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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