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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 Steven Gibson is a financial advisor with over 28 years of experience in the industry. James is currently registered with UBS Financial Services Inc. in Nevada, California and Texas. Prior to joining UBS Financial Services Inc. James worked for CITIGROUP GLOBAL MARKETS INC. and DEAN WITTER REYNOLDS INC.. James holds several professional designations and licenses including Series 7, Series 10, Series 31, Series 63 and Series 65. James is a member of the Mountains Community Hospital Finance Committee and the Lake Arrowhead Hospital Foundation Board of Directors, where James oversees investment selections for charitable donations.
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
NV
08/14/2020 - Present
UBS Financial Services Inc. (RENO NV)
CA
01/07/2000 - 03/12/2009
CITIGROUP GLOBAL MARKETS INC. (RIVERSIDE CA)
NY
02/16/1994 - 01/14/2000
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 1/8/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 3/3/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 2/15/2005
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 2/1/2005
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 3/17/1994
Series 31 - Futures Managed Funds Examination
BC
Issued 2/15/1994
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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