Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Kosan is an investment advisor representative who has been in the financial services industry since October 2005. James Kosan is currently registered with UBS Financial Services Inc. James Kosan is also registered in California and Texas. Prior to joining UBS Financial Services Inc., James Kosan was employed by MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. James Kosan holds a Series 66 license and a Series 7 license. James Kosan has experience in a variety of areas, including financial planning, portfolio management for individuals and businesses, and pension consulting.
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
CA
09/27/2024 - Present
UBS Financial Services Inc. (RIVERSIDE CA)
CA
10/31/2005 - 03/20/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (RIVERSIDE CA)
BOTH
Issued 12/09/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/28/2005
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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