Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Rosica is a financial advisor with UBS Financial Services Inc. with over 24 years of experience in the financial services industry. James is registered with the Securities and Exchange Commission (SEC) as a Registered Representative and Investment Adviser Representative. James holds a Series 7 and Series 63 license and also has a Series SIE. James specializes in providing financial planning, portfolio management, and educational seminars to individuals, businesses, and institutions. James is also a registered representative of Morgan Stanley Smith Barney, Morgan Stanley & Co. Incorporated, Citigroup Global Markets Inc., and David Lerner Associates, Inc.. James is a member of FINRA.
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
NY
10/10/2022 - Present
UBS Financial Services Inc. (MELVILLE NY)
NY
06/01/2009 - 02/06/2012
MORGAN STANLEY SMITH BARNEY (HAUPPAUGE NY)
NY
09/14/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (MELVILLE NY)
NY
09/25/2000 - 09/20/2007
CITIGROUP GLOBAL MARKETS INC. (HAUPPAUGE NY)
NY
11/06/1997 - 09/26/2000
DAVID LERNER ASSOCIATES, INC. (SYOSSET NY)
BC
Issued 11/28/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/04/1997
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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