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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 Young is a financial advisor with over 37 years of experience in the industry. James has worked with clients in Colorado and beyond in the financial services industry. He is a registered representative and investment advisor representative, holding Series 3, 7, 63, and 65 licenses as well as the Series SIE. James has worked for a number of financial institutions over the years including PaineWebber Incorporated, Everen Securities, Inc., UBS Financial Services Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated and currently with Hightower Advisors, LLC. He is a registered investment advisor and investment advisor representative in Colorado, Florida, and Texas and specializes in financial planning and investment management for a variety of clients, including individuals, corporations and charitable organizations.
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.
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.
Treasury management for corporate clients
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.
Retainer or service fees or some combination of 1, 2, 4, 5 & 7
1
2
CO
04/21/2017 - Present
Hightower Advisors, LLC (Colorado Springs CO)
CO
03/14/2008 - 04/24/2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (COLORADO SPRINGS CO)
CO
01/04/1999 - 03/26/2008
UBS FINANCIAL SERVICES INC. (COLORADO SPRINGS CO)
MO
05/11/1998 - 01/04/1999
EVEREN SECURITIES, INC. (ST. LOUIS MO)
TX
06/24/1994 - 05/11/1998
PRINCIPAL FINANCIAL SECURITIES,INC. (DALLAS TX)
NJ
02/16/1982 - 06/27/1994
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NA
12/01/1980 - 02/17/1983
B. C. ZIEGLER AND COMPANY
IA
Issued 12/07/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/04/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/21/1991
Series 3 - National Commodity Futures Examination
BC
Issued 11/15/1980
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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