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 Serinese is a financial professional with over 20 years of experience in the securities industry. James is currently registered with UBS Securities LLC, a broker-dealer firm, as a General Securities Principal. Prior to joining UBS Securities LLC, James was a registered representative with SCOTIA CAPITAL (USA) INC. James holds FINRA Series 7, Series 24, and Series 55 licenses. James has a history of experience working with a number of firms including COWEN AND COMPANY, COWEN CAPITAL LLC, LABRANCHE STRUCTURED PRODUCTS SPECIALISTS LLC, LABRANCHE STRUCTURED PRODUCTS DIRECT, BEAR HUNTER STRUCTURED PRODUCTS LLC, WAGNER STOTT BEAR SPECIALISTS LLC, and SPEAR, LEEDS & KELLOGG, L.P.
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.
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.
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2
NY
02/22/2023 - Present
UBS Securities LLC (NEW YORK NY)
NY
05/03/2018 - 02/06/2023
SCOTIA CAPITAL (USA) INC. (NEW YORK NY)
NY
08/30/2011 - 12/06/2011
COWEN AND COMPANY (NEW YORK NY)
NY
09/30/2004 - 12/05/2011
COWEN CAPITAL LLC (NEW YORK NY)
NY
12/05/2005 - 06/04/2007
LABRANCHE STRUCTURED PRODUCTS SPECIALISTS LLC (NEW YORK NY)
NY
01/26/2007 - 04/16/2007
LABRANCHE STRUCTURED PRODUCTS DIRECT (NEW YORK NY)
NY
07/02/2004 - 09/17/2004
LABRANCHE STRUCTURED PRODUCTS SPECIALISTS LLC (NEW YORK NY)
NY
09/24/2003 - 07/07/2004
LABRANCHE STRUCTURED PRODUCTS LLC (NEW YORK NY)
NY
08/23/2002 - 03/07/2003
LABRANCHE & CO. LLC (NEW YORK NY)
NY
07/19/2001 - 07/29/2002
BEAR HUNTER STRUCTURED PRODUCTS LLC (NEW YORK NY)
NY
02/08/2001 - 07/11/2001
WAGNER STOTT BEAR SPECIALISTS LLC (NEW YORK NY)
NY
03/22/1993 - 02/12/2001
SPEAR, LEEDS & KELLOGG, L.P. (NEW YORK NY)
BC
Issued 08/30/2018
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/03/2018
Series 7 - General Securities Representative Examination
BC
Issued 08/19/2003
Series 55 - Limited Representative-Equity Trader Exam
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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