Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Steven Sheridan is a financial advisor with over 30 years of experience in the financial services industry. James has been registered with UBS Financial Services Inc. since 2009, and has been a registered representative with the firm for over 15 years. Prior to joining UBS Financial Services Inc., James was employed by Morgan Stanley & Co. Incorporated and Morgan Stanley DW Inc., and has held various positions in the financial services industry. James Sheridan specializes in a wide range of services including portfolio management, financial planning, and pension consulting. He has a proven track record of success in helping 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
CA
02/03/2009 - Present
UBS Financial Services Inc. (RIVERSIDE CA)
CA
04/02/2007 - 02/02/2009
MORGAN STANLEY & CO. INCORPORATED (ONTARIO CA)
CA
10/11/1992 - 04/02/2007
MORGAN STANLEY DW INC. (ONTARIO CA)
BC
Issued 10/02/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/21/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 09/18/1992
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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