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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Wansley Morton is a financial advisor currently registered with UBS Financial Services Inc. James Morton is a registered investment advisor and broker, providing investment advice and brokerage services to individual clients, as well as businesses, high-net-worth individuals, pension plans, corporations, and charitable organizations. James Wansley Morton has been active in the financial industry since 1979 and has extensive experience in a variety of financial products and services. James Wansley Morton is registered to offer securities in multiple states. Prior to joining UBS Financial Services Inc., James Wansley Morton was employed by Kidder, Peabody & Co. Incorporated, Alex. Brown & Sons Incorporated, and Prudential-Bache Securities Inc.
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
GA
12/16/2005 - Present
UBS Financial Services Inc. (ATLANTA GA)
NY
01/08/1991 - 01/28/1995
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
NA
01/02/1990 - 10/16/1990
ALEX. BROWN & SONS INCORPORATED
NY
11/28/1979 - 12/29/1989
PRUDENTIAL-BACHE SECURITIES INC. (NEW YORK NY)
NA
11/15/1978 - 09/28/1979
IA
Issued 12/13/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/01/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/12/1981
Series 5 - Interest Rate Options Examination
BC
Issued 12/15/1979
Series 7 - General Securities Representative Examination
BC
Issued 03/14/1979
Series 52 - Municipal 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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