Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Stanton is an Investment Advisor Representative with UBS Financial Services Inc. James is a registered representative of FINRA and licensed in Florida and Texas. James has been active in the securities industry since 1985. James has worked for UBS Financial Services Inc. since February 2005. Prior to this, James worked for Morgan Stanley DW Inc. for 19 years. James has a range of specializations including retirement planning, insurance, mutual funds, fixed income, equity, and options. UBS Financial Services Inc. manages over $702 billion in assets.
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
FL
05/17/2016 - Present
UBS Financial Services Inc. (PALM BEACH GARDENS FL)
NY
08/28/1985 - 02/22/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
IA
Issued 02/07/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/31/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/11/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/04/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/03/1988
Series 3 - National Commodity Futures Examination
BC
Issued 07/20/1985
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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