Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Dobson is a financial advisor with over 30 years of experience in the industry. James is currently registered with UBS Financial Services Inc. and holds a Series 7, Series 24, Series 63, Series 86, and Series 87 license. James also holds the designation of Chartered Financial Analyst. James was previously registered with several other firms including Wunderlich Securities, Inc., Deutsche Bank Securities Inc., Donaldson, Lufkin & Jenrette Securities Corporation, Paine Webber Incorporated, and Smith Barney Shearson Inc. James specializes in providing financial advice to individuals, businesses, high-net-worth individuals, corporations, charitable organizations, and pension and profit-sharing plans.
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
10/26/2021 - Present
UBS Financial Services Inc. (New York NY)
NY
03/24/2009 - 04/01/2016
WUNDERLICH SECURITIES, INC. (New York City NY)
NY
12/11/2000 - 11/12/2008
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
NJ
04/06/1994 - 10/20/2000
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
NJ
11/12/1990 - 08/10/1995
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
03/29/1993 - 04/22/1994
SMITH BARNEY SHEARSON INC. (NEW YORK NY)
BC
Issued 07/05/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/03/2012
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/07/2009
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 05/07/2009
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 11/09/1990
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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