Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames K. Bruner is an investment advisor representative at UBS Financial Services Inc. with over 24 years of experience in the financial services industry. James is registered with FINRA as a General Securities Representative (Series 7), an Investment Company Products/Variable Contracts Representative (Series 6), and a Uniform Combined State Law Examination (Series 66). James K. Bruner has been affiliated with UBS Financial Services Inc. since October 2007. Previously, James worked at BANC OF AMERICA INVESTMENT SERVICES, INC. and BA INVESTMENT SERVICES, INC. James is currently registered in California and Texas.
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
CA
07/16/2009 - Present
UBS Financial Services Inc. (INDIAN WELLS CA)
CA
07/12/1999 - 06/27/2007
BANC OF AMERICA INVESTMENT SERVICES, INC. (PALM DESERT CA)
CA
03/20/1998 - 07/12/1999
BA INVESTMENT SERVICES, INC. (OAKLAND CA)
BOTH
Issued 09/23/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/18/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/10/2004
Series 7 - General Securities Representative Examination
BC
Issued 03/18/1998
Series 6 - Investment Company Products/Variable Contracts 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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