Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael George James is a financial advisor with UBS Financial Services Inc. Michael has been in the financial industry since December 19, 2000, and has worked for both RBC Dain Rauscher Inc. and First Institutional Securities, L.L.C. Michael is registered with the Securities and Exchange Commission (SEC) as a registered representative (RR) and investment advisor representative (IAR) and is licensed in multiple states, including New Jersey, New York, and Texas. Michael has passed the Series 7, Series 31, Series 63, and Series 65 exams. Michael has experience with various investment products and services, including portfolio management for individuals and businesses, financial planning, and pension consulting.
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
NJ
01/17/2008 - Present
UBS Financial Services Inc. (PARAMUS NJ)
NJ
03/07/2003 - 03/22/2007
RBC DAIN RAUSCHER INC. (WEST PATERSON NJ)
NJ
12/20/2000 - 03/07/2003
FIRST INSTITUTIONAL SECURITIES, L.L.C. (WEST PATERSON NJ)
IA
Issued 08/11/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/11/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/28/2006
Series 31 - Futures Managed Funds Examination
BC
Issued 12/19/2000
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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