Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Lyon is a financial advisor with UBS Financial Services Inc. James has been in the financial services industry for over 30 years, working at various firms, including American General Securities Incorporated, Sentra Securities Corporation, and Finance 500, Inc. James is registered with the state of California and Texas as a Broker-Dealer and Investment Adviser Representative. James specializes in providing financial planning, portfolio management, and investment advisory services for a wide range of clients.
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
10/19/2015 - Present
UBS Financial Services Inc. (WESTLAKE VILLAGE CA)
CA
07/30/2004 - 07/14/2006
FINANCE 500, INC. (IRVINE CA)
ME
10/04/2001 - 10/08/2002
QUASAR DISTRIBUTORS, LLC (PORTLAND ME)
AZ
07/16/1999 - 10/04/2001
FIRST FUND DISTRIBUTORS, INC. (PHOENIX AZ)
AZ
01/01/1998 - 05/21/1999
AMERICAN GENERAL SECURITIES INCORPORATED (PHOENIX AZ)
AZ
01/02/1997 - 10/28/1997
AMERICAN GENERAL SECURITIES INCORPORATED (PHOENIX AZ)
AZ
01/10/1994 - 12/31/1996
SPELMAN & CO., INC. (PHOENIX AZ)
AZ
04/21/1993 - 01/20/1994
SENTRA SECURITIES CORPORATION (PHOENIX AZ)
IA
Issued 06/26/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/03/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/12/1993
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/20/1993
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
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