Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames W. Fogarty is a financial advisor with UBS Financial Services Inc. James has been in the financial services industry since 1979 and is registered in multiple states. He specializes in portfolio management for individuals and businesses, financial planning, and pension consulting. James has a strong track record of providing personalized financial advice to clients, helping them reach 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
NH
01/17/2024 - Present
UBS Financial Services Inc. (PORTSMOUTH NH)
NH
02/04/2005 - 10/01/2010
WELLS FARGO ADVISORS, LLC (PORTSMOUTH NH)
NY
08/04/1980 - 02/07/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
NA
09/19/1979 - 02/26/1985
USLIFE EQUITY SALES CORP.
IA
Issued 07/07/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/29/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/01/1993
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 03/06/1980
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/15/1979
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
Not sure James Fogarty is the right advisor for you? Invested Better is here to help.
