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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 Lynn is a financial advisor who has been in the industry since November 2000. James is registered with UBS Financial Services Inc. and has been with the firm since June 2006. James is a registered representative and investment advisor in Rhode Island and Texas. James holds the following securities licenses: Series 3, 7, 9, 10, 24, 31, 66 and SIE. James is also registered in many other states. James provides various services, including financial planning, portfolio management, 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
RI
11/14/2000 - Present
UBS Financial Services Inc. (PROVIDENCE RI)
BOTH
Issued 11/13/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/22/2006
Series 24 - General Securities Principal Examination
BC
Issued 12/15/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/12/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/15/2005
Series 3 - National Commodity Futures Examination
BC
Issued 11/06/2002
Series 31 - Futures Managed Funds Examination
BC
Issued 11/07/2000
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
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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