Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Giordano is a financial advisor with UBS Financial Services Inc. James has been in the financial industry since 1998 and has held registrations in multiple states. James has passed a variety of exams, including Series 66, Series 31, and Series 7. James is also a Certified Financial Planner. James specializes in providing financial advice to individuals, businesses, corporations, trusts, and other entities. James offers a variety of financial planning services, including portfolio management, retirement planning, and college savings planning. James's experience and expertise in the financial industry make James a valuable resource for clients seeking financial advice.
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
06/09/2023 - Present
UBS Financial Services Inc. (PASADENA CA)
CA
03/27/2001 - 07/23/2002
TRANSAMERICA SECURITIES SALES CORPORATION (LOS ANGELES CA)
NY
03/10/1998 - 01/04/2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 05/01/1998
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/18/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 03/09/1998
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 Giordano is the right advisor for you? Invested Better is here to help.
