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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 Braugh is a financial advisor with over 30 years of experience in the industry. James is currently registered with UBS Financial Services Inc. James has a wide range of experience, including previous roles with KIDDER, PEABODY & CO. INCORPORATED and SHEARSON LEHMAN HUTTON INC. James has a broad range of licenses and certifications, including Series 7TO, Series 63, Series 65, Series 9, Series 10, Series 15, Series 24, Series 4, Series 5, and Series 12. James specializes in providing financial advice to individuals, businesses, and institutions.
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
CA
01/28/1995 - Present
UBS Financial Services Inc. (SAN JOSE CA)
NY
02/08/1990 - 01/28/1995
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
NY
02/15/1988 - 02/20/1990
SHEARSON LEHMAN HUTTON INC. (NEW YORK NY)
NA
12/22/1969 - 02/15/1988
E. F. HUTTON & COMPANY INC
IA
Issued 01/13/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/09/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/27/1981
Series 24 - General Securities Principal Examination
BC
Issued 09/25/1979
Series 4 - Registered Options Principal Examination
BC
Issued 08/02/1973
Series 12 - NYSE Branch Manager Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/24/1989
Series 15 - Foreign Currency Options Examination
BC
Issued 10/09/1981
Series 5 - Interest Rate Options Examination
BC
Issued 08/31/1977
PC - AMEX Put and Call Exam
BC
Issued 12/15/1969
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
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