Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Dell is a financial advisor with UBS Financial Services Inc. with over 3 years of experience in the industry. James is licensed to provide investment advice in Texas and several other states, and holds a Series 7TO, Series 66 and SIE licenses. James has previously worked at MORGAN STANLEY and EQUITABLE ADVISORS, LLC. In addition to providing financial planning services, James Dell also specializes in portfolio management for individuals and businesses. James Dell is committed to providing personalized and comprehensive financial advice 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
TX
08/20/2024 - Present
UBS Financial Services Inc. (AUSTIN TX)
TX
06/06/2022 - 08/26/2024
MORGAN STANLEY (Austin TX)
TX
07/12/2021 - 06/10/2022
EQUITABLE ADVISORS, LLC (AUSTIN TX)
BOTH
Issued 09/06/2021
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/10/2021
Series 7TO - General Securities Representative Examination
BC
Issued 05/15/2021
SIE - Securities Industry Essentials 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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