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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Patrick is a financial advisor with UBS Financial Services Inc. James has been in the financial services industry since 1994 and holds Series 7, Series 63, and Series 65 licenses. James has experience working with a variety of clients, including high-net-worth individuals, corporations, charitable organizations, and pension plans. James is committed to providing personalized financial advice and helping clients reach their financial goals. James's specialties include investment management, financial planning, and retirement planning. James's firm, UBS Financial Services Inc., is a large financial services company with a wide range of products and services. The firm has a long history of providing financial advice to individuals and institutions.
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
CA
08/30/2019 - Present
UBS Financial Services Inc. (Mill Valley CA)
CA
04/07/2000 - 08/30/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (MILL VALLEY CA)
CA
07/25/1999 - 03/22/2000
MERCER GLOBAL SECURITIES LLC (IRVINE CA)
CA
05/09/1997 - 02/05/1998
MERCER GLOBAL SECURITIES LLC (IRVINE CA)
NY
06/18/1992 - 08/08/1996
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
BC
Issued 04/07/2000
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 06/23/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/16/1992
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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