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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Lewis Koltes is a financial advisor registered with UBS Financial Services Inc. James has been in the financial services industry since 1970. James is licensed to provide financial advice in a variety of states and specializes in helping individuals, businesses, and high-net-worth clients with their financial needs. James also has experience working with pension plans, charitable organizations, and insurance companies. Prior to UBS Financial Services Inc., James worked at KIDDER, PEABODY & CO. INCORPORATED, BLYTH EASTMAN DILLON & CO. INCORPORATED, and EASTMAN DILLON, UNION SECURITIES & CO., INCORPORATED.
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
DC
08/16/2011 - Present
UBS Financial Services Inc. (WASHINGTON DC)
NY
01/18/1980 - 01/17/1995
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
NA
11/14/1972 - 02/11/1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
NA
07/28/1970 - 11/14/1972
EASTMAN DILLON, UNION SECURITIES & CO., INCORPORATED
BOTH
Issued 05/18/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/22/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/11/2005
Series 3 - National Commodity Futures Examination
BC
Issued 07/18/1977
PC - AMEX Put and Call Exam
BC
Issued 07/24/1970
Series 1 - Registered 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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