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. Merkley is an active broker and investment advisor representative registered with UBS Financial Services Inc. James has been in the financial services industry since August 1, 2002 and has been with UBS Financial Services Inc. since February 2009. James has a Series 7, Series 31, Series 66 and SIE license. James is registered in 37 states, including New York, Texas, California, Florida, Georgia, Illinois, and more.
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
02/23/2009 - Present
UBS Financial Services Inc. (ROCHESTER NY)
NY
04/02/2007 - 02/24/2009
MORGAN STANLEY & CO. INCORPORATED (ROCHESTER NY)
NY
08/01/2002 - 04/02/2007
MORGAN STANLEY DW INC. (ROCHESTER NY)
BOTH
Issued 08/29/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/01/2002
Series 31 - Futures Managed Funds Examination
BC
Issued 07/31/2002
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
Not sure James Merkley is the right advisor for you? Invested Better is here to help.
