Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Patrick Hart has been active in the financial industry since February 10, 1986. James is currently registered with UBS Financial Services Inc. as a Registered Representative and Investment Advisor Representative. James has a long history in the financial industry, having previously worked for Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley Smith Barney, Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., Wachovia Securities, LLC, First Albany Corporation, Prudential Securities Incorporated, Lehman Brothers Inc. and Oppenheimer & Co., Inc. James is licensed to provide investment advice in multiple states. James specializes in providing financial planning, portfolio management, and pension consulting services to individuals, businesses, and charitable organizations.
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
02/02/2024 - Present
UBS Financial Services Inc. (ALBANY NY)
NY
12/03/2010 - 02/12/2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (ALBANY NY)
NY
06/01/2009 - 12/17/2010
MORGAN STANLEY SMITH BARNEY (ALBANY NY)
NY
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (ALBANY NY)
NY
01/13/2006 - 04/02/2007
MORGAN STANLEY DW INC. (ALBANY NY)
MO
08/05/2000 - 01/20/2006
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
07/12/1996 - 08/05/2000
FIRST ALBANY CORPORATION (NEW YORK NY)
NY
03/02/1993 - 06/20/1996
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
11/09/1990 - 03/16/1993
LEHMAN BROTHERS INC.
NY
10/26/1987 - 03/16/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
03/14/1989 - 12/04/1990
OPPENHEIMER & CO., INC. (NEW YORK NY)
NA
01/21/1986 - 10/28/1987
E. F. HUTTON & COMPANY INC
IA
Issued 1/9/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 2/5/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 1/18/1986
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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