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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 Paulman Stirling is a financial advisor with UBS Financial Services Inc. located in CHICAGO, IL. James Stirling has been in the industry since October 24, 1984. James Stirling is registered with FINRA and the state of Illinois and Texas and holds the Series 7, Series 63, Series 65, Series 79, and SIE licenses. James Stirling is a Chartered Financial Analyst. James Stirling has experience working for UBS Securities LLC and KIDDER, PEABODY & CO. INCORPORATED.
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
05/09/2022 - Present
UBS Financial Services Inc. (CHICAGO IL)
IL
07/26/2007 - 12/14/2012
UBS SECURITIES LLC (CHICAGO IL)
IL
01/28/1995 - 07/27/2007
UBS FINANCIAL SERVICES INC. (CHICAGO IL)
NY
10/25/1984 - 01/28/1995
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
IA
Issued 05/20/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/04/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/20/1984
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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