Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames P. McCann is a financial advisor with UBS Financial Services Inc. based in New York, NY. James McCann has over 40 years of experience in the financial services industry. James McCann is registered with the state of Florida and holds the Series 7, 5, and 63 licenses as well as the SIE and Series 65 exams. Previously, James McCann was with Wachovia Securities, LLC, Prudential Securities Incorporated, and Paine Webber Incorporated.
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
07/11/2003 - Present
UBS Financial Services Inc. (NEW YORK NY)
MO
07/01/2003 - 07/15/2003
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
09/07/1999 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NJ
07/20/1981 - 09/15/1999
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
IA
Issued 09/21/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/11/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/30/1981
Series 5 - Interest Rate Options Examination
BC
Issued 07/18/1981
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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