Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames O'Connell is a financial advisor at UBS Financial Services Inc., with over 30 years of experience in the industry. James is registered in several states to provide both Broker-Dealer and Investment Advisory services. James has experience working with individual clients, corporations, trusts, and charitable organizations. James has also served as a supervisor within the financial services industry.
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
IL
11/21/2009 - Present
UBS Financial Services Inc. (CHICAGO IL)
IL
07/31/1993 - 05/28/2009
CITIGROUP GLOBAL MARKETS INC. (OAKBROOK TERRACE IL)
NY
08/10/1992 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 09/20/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/04/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/25/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/22/1998
Series 31 - Futures Managed Funds Examination
BC
Issued 08/07/1992
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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