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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Patrick Willers is an investment advisor representative at UBS Financial Services Inc. with 13 years of experience in the industry. James Patrick Willers is registered with FINRA and is licensed to provide investment advice in multiple states, including South Dakota, Minnesota, North Dakota, and Texas. Before joining UBS Financial Services Inc., James Patrick Willers worked at AXA ADVISORS, LLC and NYLIFE SECURITIES LLC. James Patrick Willers has a variety of licenses and certifications including Series 6, 7, 9, 10, 63, and 65.
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
SD
03/14/2014 - Present
UBS Financial Services Inc. (SIOUX FALLS SD)
SD
02/17/2010 - 11/13/2013
AXA ADVISORS, LLC (SIOUX FALLS SD)
SD
01/18/2010 - 02/05/2010
NYLIFE SECURITIES LLC (SIOUX FALLS SD)
IA
Issued 06/03/2011
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/13/2009
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/26/2021
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/14/2021
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/17/2010
Series 7 - General Securities Representative Examination
BC
Issued 01/15/2010
Series 6 - Investment Company Products/Variable Contracts 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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