Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Bassett is a financial advisor with over 18 years of experience in the financial industry. James is currently registered with UBS Financial Services Inc. as a registered representative and investment advisor representative. James has held previous registrations with Wedbush Securities Inc. and Wachovia Securities, LLC. James holds Series 7, 31, 66 and SIE securities licenses and is registered in 47 states. James is a well-rounded advisor with a broad range of experience and expertise to help clients with their financial needs.
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
AZ
10/17/2012 - Present
UBS Financial Services Inc. (Sedona AZ)
AZ
03/31/2008 - 10/24/2012
WEDBUSH SECURITIES INC. (SCOTTSDALE AZ)
AZ
01/27/2006 - 04/02/2008
WACHOVIA SECURITIES, LLC (SCOTTSDALE AZ)
AZ
03/26/2004 - 01/31/2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PHOENIX AZ)
BOTH
Issued 04/12/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/09/2012
Series 31 - Futures Managed Funds Examination
BC
Issued 03/25/2004
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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