Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Paolucci is an investment advisor representative with UBS Financial Services Inc. in New York, NY. James has been in the industry since 2008 and has been with UBS since 2015. James is registered with the state of New York and holds Series 7, Series 66, and Series 99TO licenses. James also has experience with Barclays Capital Inc. and J.P. Morgan Securities Inc.
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
06/28/2022 - Present
UBS Financial Services Inc. (New York NY)
NY
06/01/2011 - 03/19/2015
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
10/01/2008 - 11/23/2009
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NY
09/26/2007 - 10/01/2008
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NY
04/02/2007 - 08/14/2007
MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)
NY
10/17/2006 - 04/02/2007
MORGAN STANLEY DW INC. (PURCHASE NY)
BOTH
Issued 06/28/2022
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/16/2006
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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