Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Raymond Oplt is a financial advisor currently registered with UBS Financial Services Inc. James has been in the industry since 1976, providing a wide range of financial services to individual and corporate clients. James previously held positions at Dean Witter & Co. Incorporated, Dean Witter Reynolds Inc., E. F. Hutton & Company Inc., and Shearson Lehman Hutton Inc. James holds several licenses and certifications, including Series 7, Series 63, and Series 4. James is dedicated to providing personalized financial advice and guidance to help clients achieve their financial goals.
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
IA
07/08/2013 - Present
UBS Financial Services Inc. (WEST DES MOINES IA)
NY
03/07/1988 - 10/11/1989
SHEARSON LEHMAN HUTTON INC. (NEW YORK NY)
NA
05/10/1978 - 03/07/1988
E. F. HUTTON & COMPANY INC
NA
02/24/1978 - 09/02/1978
DEAN WITTER REYNOLDS INC.
NA
12/01/1976 - 02/24/1978
DEAN WITTER & CO. INCORPORATED
BC
Issued 03/15/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/15/1980
Series 4 - Registered Options Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/13/1978
PC - AMEX Put and Call Exam
BC
Issued 11/20/1976
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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