Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Hilton sr. is an active registered representative with UBS Financial Services Inc. and has been in the financial services industry since June 14, 1991. James Hilton sr. has held previous registrations with Morgan Stanley, Citigroup Global Markets Inc., Lehman Brothers Inc., and First Investors Corporation. James Hilton sr. has passed Series 3, Series 6, Series 7, Series 63, Series 65, Series 6TO, and SIE exams. James Hilton sr. is currently registered with the states of Alabama, Arizona, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Missouri, Nevada, New Hampshire, New Jersey, New York, North Carolina, Oregon, Pennsylvania, Puerto Rico, Rhode Island, South Carolina, Tennessee, Texas, Utah, Vermont, Virginia, and Washington. James Hilton sr. is also registered with the Securities Industry and Financial Markets Association (FINRA). James Hilton sr. has a total of 35 state registrations, 2 IA state registrations, and 10 approved SRO registrations. James Hilton sr. specializes in portfolio management for individuals and businesses, financial planning, pension consulting, and educational seminars.
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
RI
02/01/2013 - Present
UBS Financial Services Inc. (Newport RI)
RI
06/01/2009 - 02/25/2013
MORGAN STANLEY (NEWPORT RI)
RI
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (NEWPORT RI)
NY
09/26/1991 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
04/23/1984 - 08/03/1984
FIRST INVESTORS CORPORATION
IA
Issued 06/01/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/20/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/29/1991
Series 3 - National Commodity Futures Examination
BC
Issued 09/24/1991
Series 7 - General Securities Representative Examination
BC
Issued 03/30/1984
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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