Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Philip? Claim Your ProfilePhilip James Dipasquale is a financial advisor at UBS Financial Services Inc. Philip James has been in the financial services industry since 2003. Philip James is registered with the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) and has a Series 7, 31, 63, and 65 license. Philip James is registered to sell securities in multiple states. Philip James's professional experience includes working with Morgan Stanley Smith Barney and Citigroup Global Markets 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
NY
09/05/2017 - Present
UBS Financial Services Inc. (ROCHESTER NY)
NY
06/01/2009 - 01/06/2012
MORGAN STANLEY SMITH BARNEY (ROCHESTER NY)
NY
12/19/2003 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (ROCHESTER NY)
IA
Issued 01/31/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/19/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/14/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 12/18/2003
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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