Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Morris is a financial advisor with UBS Financial Services Inc. in West Des Moines, Iowa. James is a Chartered Financial Analyst and has been in the financial services industry since 2014. James has a Series 7TO, Series 63, and SIE licenses and is registered with FINRA, Iowa and the state of Iowa. James has experience with individuals, high-net-worth individuals, corporations, charitable organizations, pension plans, and insurance companies.
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
IA
08/13/2024 - Present
UBS Financial Services Inc. (West Des Moines IA)
BC
Issued 08/05/2024
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/02/2024
Series 7TO - General Securities Representative Examination
BC
Issued 04/11/2024
SIE - Securities Industry Essentials 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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