Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames William Rimmel has been in the financial services industry since December 1994. James is currently registered with UBS Financial Services Inc. and is also registered as an Investment Advisor Representative in Pennsylvania and Texas. James has previously worked for Merrill Lynch, Pierce, Fenner & Smith Incorporated. James holds the Series 7, Series 31, Series 63, and Series 65 licenses. He also holds the SIE license. James is a member of the Light of Life Rescue Mission Board of directors and owns property in the Dominican Republic.
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
PA
09/19/2002 - Present
UBS Financial Services Inc. (PITTSBURGH PA)
NY
12/09/1994 - 11/12/1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 08/18/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/25/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/27/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 12/08/1994
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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