Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames L. Feggelle is a financial advisor with UBS Financial Services Inc. James is a registered representative in the state of New York. James has been in the financial services industry since 2005. James has experience working with individuals, high-net-worth individuals, corporations, charitable organizations, pension and profit-sharing plans, insurance companies, banking or thrift institutions, state or municipal government entities, and other investment advisers. James provides financial planning, portfolio management for individuals and businesses, pension consulting, and educational seminars.
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
07/01/2016 - Present
UBS Financial Services Inc. (NEW YORK NY)
NY
09/07/2007 - 01/01/2010
UBS INTERNATIONAL INC. (NEW YORK NY)
NY
10/05/2005 - 09/20/2007
UBS FINANCIAL SERVICES INC. (WHITE PLAINS NY)
BOTH
Issued 12/18/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/23/2016
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/24/2014
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/04/2005
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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