Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Thomas Borda is a financial advisor registered with UBS Financial Services Inc. James has been in the financial services industry since March 17, 2015 and has a total of 35 active state registrations. James is registered with the state of New Jersey for both Broker-Dealer and Investment Advisor activities. James has passed the Series 7, Series 63, Series 66, and SIE exams. James has worked at J.P. Morgan Securities LLC, Deutsche Bank Securities Inc., and UBS Financial Services Inc. UBS Financial Services Inc. is a broker-dealer and investment advisor with more than $50 billion in assets under management. The firm provides a range of financial services to individuals, businesses, and institutions, including financial planning, portfolio management, investment research, and wealth management.
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
NY
01/10/2022 - Present
UBS Financial Services Inc. (NEW YORK NY)
NY
09/18/2019 - 04/20/2021
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
NY
03/06/2015 - 09/05/2019
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
BOTH
Issued 01/10/2022
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/29/2016
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/05/2015
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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