Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Barling is a financial advisor who is registered with FINRA. James currently works for FEF Distributors, LLC and was previously employed at UBS Asset Management (US) Inc., Allianz Global Investors Distributors LLC and Neuberger Berman, LLC. James has passed the Series 7, Series 3, and the Securities Industry Essentials Examination. James has been in the financial services industry since 2006.
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.
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.
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2
NY
01/11/2017 - Present
FEF Distributors, LLC (NEW YORK NY)
NY
10/06/2014 - 01/10/2017
UBS ASSET MANAGEMENT (US) INC. (NEW YORK NY)
NY
12/18/2008 - 09/22/2014
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC (NEW YORK NY)
NY
06/26/2006 - 11/11/2008
NEUBERGER BERMAN, LLC (NEW YORK NY)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/23/2006
Series 7 - General Securities Representative Examination
BC
Issued 11/11/1998
Series 3 - National Commodity Futures Examination
Active
Inactive
F
FINRA
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