Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Malcolm Ugobono is a financial advisor with Raymond James Financial Services Advisors, Inc. James has been in the industry since 1999 and has a diverse background in financial services. James has experience working with individual investors, corporations, and retirement plans. James holds the Series 63, Series 66, Series 7, and SIE licenses. James is also a registered investment advisor in Puerto Rico and Texas. James is committed to providing his clients with personalized financial advice and helping them achieve their financial goals.
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.
Hourly & fixed rate consultations
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.
Per participant (erisa)
1
2
PR
04/04/2024 - Present
Raymond James Financial Services Advisors, Inc. (Guaynabo PR)
PR
11/12/2010 - 04/24/2024
UBS FINANCIAL SERVICES INC. (SAN JUAN PR)
PR
11/12/2010 - 10/19/2021
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO (SAN JUAN PR)
PR
12/21/2001 - 12/13/2010
SANTANDER SECURITIES (RIO PIEDRAS PR)
PR
11/22/1999 - 12/18/2001
DORAL SECURITIES, INC. (PUERTO NUEVO PR)
BOTH
Issued 09/19/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/19/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/20/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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