Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jim? Claim Your ProfileJim Simon Kottoor is a financial professional with over 20 years of experience in the industry. Jim is currently registered with UBS Financial Services Inc. Jim has a strong background in securities and investment advisory services, having held previous roles with Morgan Stanley and Citigroup Global Markets Inc. Jim holds a variety of licenses and certifications, including Series 3, 7, 9, 10, 63, 65 and SIE. Jim is committed to providing clients with personalized financial advice and guidance to help them achieve 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
CA
08/07/2023 - Present
UBS Financial Services Inc. (SEAL BEACH CA)
NY
06/01/2009 - 05/22/2013
MORGAN STANLEY (NEW YORK NY)
NY
04/24/2008 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
06/13/2001 - 01/24/2008
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
IA
Issued 04/09/2013
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/10/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/24/2013
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/13/2013
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/15/2013
Series 3 - National Commodity Futures Examination
BC
Issued 06/12/2001
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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