Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Frayard is a financial advisor associated with UBS Financial Services Inc. James has been in the financial services industry since August 1983. James holds multiple licenses including Series 3, 7, 9, 10, 63, and 65. James is also a registered representative in Louisiana. The UBS Financial Services Inc. branch office location for James is located in Lafayette, Louisiana. UBS Financial Services Inc. is a large financial firm with a wide range of client types and services offered.
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
LA
10/03/1985 - Present
UBS Financial Services Inc. (LAFAYETTE LA)
NA
08/24/1983 - 10/16/1985
SHEARSON LEHMAN BROTHERS INC.
IA
Issued 04/02/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/04/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/02/2010
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/17/2009
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/12/1986
Series 3 - National Commodity Futures Examination
BC
Issued 08/20/1983
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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