Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Andrew Coan is a financial advisor currently associated with UBS Financial Services INC. James has been working in the financial services industry since 1995 and has extensive experience in the industry. James holds a Series 7 and Series 63 license as well as the SIE and Series 65 exams. Previously James worked for Deutsche Bank Securities INC, Wachovia Securities, LLC, Prudential Securities Incorporated, and Prudential Investment Management Services LLC. James has been registered with UBS Financial Services INC. since 2011.
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
NJ
09/20/2023 - Present
UBS Financial Services Inc. (SHORT HILLS NJ)
NY
02/11/2004 - 11/13/2008
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
MO
07/01/2003 - 05/27/2004
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
06/11/2001 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NJ
06/21/1995 - 06/21/2001
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC (NEWARK NJ)
IA
Issued 11/13/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/1/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 6/20/1995
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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