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 Mead is a financial advisor at UBS Financial Services Inc. James has been working in the financial services industry since 1990. James is a registered representative and investment advisor representative. James is registered with FINRA and the state of Texas. James has a Series 7, Series 24, Series 31, Series 52TO, Series 53 and Series 63. James has previously worked at MORGAN STANLEY and WELLS FARGO INVESTMENTS, LLC. James is a partner in several businesses. James is a partner in RMK 800, LLC, FISHMORE INVESTMENTS, LLC, FMH, LLC, and MB ANGUS LLC. James also owns personal commercial real estate. James is a financial advisor with UBS Financial Services Inc. UBS Financial Services Inc. is a leading global wealth manager. UBS Financial Services Inc. provides a wide range of financial services to individuals, families, and institutions. UBS Financial Services Inc. is committed to providing its clients with the highest quality financial advice and services.
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
OR
05/05/2015 - Present
UBS Financial Services Inc. (BEND OR)
OR
06/01/2009 - 05/18/2015
MORGAN STANLEY (BEND OR)
OR
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (BEND OR)
OR
10/03/2003 - 04/02/2007
MORGAN STANLEY DW INC. (BEND OR)
CA
04/09/2001 - 10/10/2003
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
CA
08/19/1996 - 05/02/2001
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
NA
08/29/1995 - 08/19/1996
FIRST INTERSTATE INVESTMENTS,INC.
CA
11/23/1994 - 11/17/1995
ESSEX NATIONAL SECURITIES, INC. (NAPA CA)
NA
12/18/1991 - 11/04/1994
MASTERS CAPITAL, INC.
NA
07/09/1988 - 02/21/1990
J. T. MORAN & CO., INC.
NA
05/25/1988 - 05/31/1988
SHERWOOD CAPITAL, INC.
IA
Issued 03/11/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/10/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/16/1996
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/10/1995
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/10/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 05/21/1988
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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