Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Cassidy is a financial advisor with UBS Financial Services Inc. James has been working in the financial services industry since 1983. James is registered with the Securities and Exchange Commission and the Financial Industry Regulatory Authority. James is also registered to provide investment advisory services in New York. James has earned the Series 7, 63, 66, 10, 24, 55 and SIE licenses. James has experience providing financial planning, portfolio management, and other services to a wide range of clients, including individuals, businesses, 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
NY
02/22/2024 - Present
UBS Financial Services Inc. (New York NY)
NY
04/11/2005 - 01/01/2010
UBS INTERNATIONAL INC. (NEW YORK NY)
NY
06/08/2000 - 04/01/2005
JULIUS BAER SECURITIES INC. (NEW YORK NY)
NY
09/03/1985 - 05/30/2000
UBS WARBURG LLC (NEW YORK NY)
CT
06/18/1998 - 06/29/1998
SBC WARBURG DILLON READ INC. (STAMFORD CT)
NA
05/25/1983 - 08/06/1985
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED
BOTH
Issued 02/07/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/28/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/01/2004
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/22/1998
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 05/21/1983
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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