Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Vincent Carideo III is an Investment Advisor Representative with UBS Financial Services Inc. James has been in the industry for over 30 years. James is registered with both the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). James is also registered as an Investment Advisor Representative in California, Florida, and Tennessee. James has a broad range of experience in the financial services industry, having worked for several firms, including Robert W. Baird & Co. Incorporated, Morgan Stanley Smith Barney, Citigroup Global Markets Inc., Lehman Brothers Inc., MetLife Securities Inc., and Metropolitan Life Insurance Company. James also has experience in a variety of financial markets, including stocks, bonds, options, futures, and mutual funds. James's expertise and experience make him a valuable resource for clients who are looking for comprehensive financial advice.
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
07/02/2013 - Present
UBS Financial Services Inc. (SAN DIEGO CA)
FL
01/11/2010 - 06/09/2011
ROBERT W. BAIRD & CO. INCORPORATED (TAMPA FL)
CA
06/01/2009 - 01/20/2010
MORGAN STANLEY SMITH BARNEY (LOS ANGELES CA)
CA
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (LOS ANGELES CA)
NY
01/04/1993 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
MA
08/03/1992 - 11/03/1992
METLIFE SECURITIES INC. (SPRINGFIELD MA)
NY
08/03/1992 - 11/03/1992
METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)
IA
Issued 01/19/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/19/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/18/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/18/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/03/2002
Series 3 - National Commodity Futures Examination
BC
Issued 12/01/1994
Series 31 - Futures Managed Funds Examination
BC
Issued 12/28/1992
Series 7 - General Securities Representative Examination
BC
Issued 07/31/1992
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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