Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames M. Hay has been in the financial services industry since 2002. He is a registered representative with UBS Financial Services Inc. in Bloomington, MN. James has held previous positions with RBC Capital Markets, LLC, and Piper Jaffray & Co., also in Minnesota. He is registered to provide investment advice in 35 states and the District of Columbia. James specializes in working with a variety of clients, including high-net-worth individuals, corporations, and charitable organizations.
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
MN
07/21/2014 - Present
UBS Financial Services Inc. (BLOOMINGTON MN)
MN
04/22/2009 - 05/30/2013
RBC CAPITAL MARKETS, LLC (EDINA MN)
MN
08/12/2006 - 05/13/2009
UBS FINANCIAL SERVICES INC. (EDINA MN)
MN
09/09/2002 - 08/12/2006
PIPER JAFFRAY & CO. (EDINA MN)
BOTH
Issued 09/26/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/06/2002
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 Hay is the right advisor for you? Invested Better is here to help.
