Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Michael Sands is a financial advisor with over 40 years of experience in the industry. James currently works at Morgan Stanley and is registered with the state of New York and Texas. James has been a financial advisor at Morgan Stanley since August 2020, prior to that, James worked at UBS Financial Services Inc for over 11 years. James has also worked at Paine Webber Incorporated, Blinder, Robinson & Co., Inc. and A. G. Edwards & Sons, Inc. James holds Series 7, 31, and 65 securities licenses. James also has a Series 63 license and is currently registered with 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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
NY
08/28/2020 - Present
Morgan Stanley (ORCHARD PARK NY)
NY
11/26/2008 - 09/08/2020
UBS FINANCIAL SERVICES INC. (BUFFALO NY)
NY
04/02/2007 - 12/01/2008
MORGAN STANLEY & CO. INCORPORATED (WILLIAMSVILLE NY)
NY
04/03/2000 - 04/02/2007
MORGAN STANLEY DW INC. (WILLIAMSVILLE NY)
MO
03/06/1990 - 04/10/2000
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
NJ
12/02/1988 - 03/05/1990
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NA
08/30/1982 - 11/26/1988
BLINDER, ROBINSON & CO., INC.
IA
Issued 04/25/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/07/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/04/2006
Series 31 - Futures Managed Funds Examination
BC
Issued 08/21/1982
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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