Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Robinson is a financial advisor at UBS Financial Services Inc. with over 30 years of experience in the industry. James holds Series 7, 55, 57TO and SIE securities licenses and is also a registered investment advisor. He is a trusted advisor to clients in Cincinnati and surrounding areas, providing a range of financial services. He offers portfolio management, financial planning, and pension consulting services.
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
OH
09/09/2011 - Present
UBS Financial Services Inc. (CINCINNATI OH)
OH
10/11/2000 - 04/24/2009
WACHOVIA SECURITIES, LLC (CINCINNATI OH)
OH
02/09/1999 - 10/11/2000
FIFTH THIRD SECURITIES, INC. (CINCINNATI OH)
RI
01/20/1994 - 01/26/1999
FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)
IA
Issued 12/26/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/14/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/24/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 01/19/1994
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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