Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Francis Leen is a financial advisor with over 40 years of experience in the financial services industry. James has been registered with UBS Financial Services Inc. since 1995. James previously worked at Kidder, Peabody & Co. Incorporated, Barnett Investments, Inc., Barnett Bond Service, Inc., E. F. Hutton & Company Inc., McLaughlin, Piven, Vogel Inc., Butcher & Singer Inc., Gabriele, Hueglin & Cashman Inc. and H. C. Copeland and Associates Equities, Inc. James is licensed in several states and has a strong understanding of the financial markets. James holds a Series 7, Series 6, Series 63, and Series 65 license. James also has a strong understanding of investment products and services. James has a proven track record of providing financial advice to individuals, families, and businesses.
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
01/28/1995 - Present
UBS Financial Services Inc. (WEST PALM BEACH FL)
NY
11/15/1993 - 01/28/1995
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
FL
03/03/1989 - 11/18/1993
BARNETT INVESTMENTS, INC. (JACKSONVILLE FL)
NA
12/23/1987 - 04/15/1989
BARNETT BOND SERVICE, INC.
NA
11/06/1986 - 05/06/1988
E. F. HUTTON & COMPANY INC
NA
09/04/1986 - 11/12/1986
MCLAUGHLIN, PIVEN, VOGEL INC.
NA
12/10/1985 - 05/08/1986
BUTCHER & SINGER INC.
NA
06/22/1983 - 05/31/1985
GABRIELE, HUEGLIN & CASHMAN INC.
NA
07/13/1981 - 05/16/1983
H. C. COPELAND AND ASSOCIATES EQUITIES, INC.
IA
Issued 8/7/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 8/12/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 6/18/1983
Series 7 - General Securities Representative Examination
BC
Issued 7/9/1981
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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