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James Michael Kampfer

UBS Securities LLC

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About James Michael Kampfer

James Michael Kampfer is a securities professional with UBS Securities LLC. James holds the Securities Industry Essentials Examination (SIE) and the Operations Professional Examination (Series 99TO). James has been in the industry since February 2023.

Firm Information

James Kampfer is currently registered with UBS Securities LLC. UBS Securities LLC is a Limited Liability Company formed on June 29, 1998. The firm is registered with the SEC and in all 50 states, as well as in Puerto Rico. UBS Securities LLC has been involved in 307 regulatory events, 5 civil events, and 3 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

507

Total Financial Advisors

Services Offered

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.

Fee Structure

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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James Kampfer’s Registration & Firm History

NY

02/03/2023 - Present

UBS Securities LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 02/03/2023

SIE - Securities Industry Essentials Examination

BC

Issued 10/01/2022

Series 99TO - Operations Professional Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for James Michael Kampfer.
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