JC
James Cin
UBS ASSET MANAGEMENT (US)
New York, NY 10019
Some features on this profile are disabled
CRD#: 6939441
JC
Professional summary
James Cin, who also goes by James H Cin, is a registered financial professional currently at UBS ASSET MANAGEMENT (US) INC. located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 2018. James has worked at 2 firms and has passed the Series 66, Series 3, SIE, Series 7 and Series 50 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
James H Cin
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view James Cin's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 26, 2022 - Present
UBS ASSET MANAGEMENT (US) INC.
Office #1: 787 Seventh Avenue, New York, NY 10019BD
CRD#: 583
New York, NY
Past
December 14, 2018 - February 18, 2020
NEUBERGER BERMAN BD LLC
RIA
CRD#: 2908
NEW YORK, NY
Past
August 28, 2018 - February 18, 2020
NEUBERGER BERMAN BD LLC
BD
CRD#: 2908
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(2/3/2022)
RR
Alaska(2/3/2022)
RR
Arizona(2/3/2022)
RR
Arkansas(2/3/2022)
RR
California(2/3/2022)
RR
Colorado(2/3/2022)
RR
Connecticut(2/3/2022)
RR
Delaware(2/3/2022)
RR
District of Columbia(2/3/2022)
RR
Florida(2/3/2022)
RR
Georgia(2/3/2022)
RR
Hawaii(2/3/2022)
RR
Idaho(2/3/2022)
RR
Illinois(2/3/2022)
RR
Indiana(2/3/2022)
RR
Iowa(2/3/2022)
RR
Kansas(2/3/2022)
RR
Kentucky(2/3/2022)
RR
Louisiana(2/3/2022)
RR
Maine(2/3/2022)
RR
Maryland(2/3/2022)
RR
Massachusetts(2/3/2022)
RR
Michigan(2/3/2022)
RR
Minnesota(2/3/2022)
RR
Mississippi(2/3/2022)
RR
Missouri(2/3/2022)
RR
Montana(2/3/2022)
RR
Nebraska(2/3/2022)
RR
Nevada(2/3/2022)
RR
New Hampshire(2/3/2022)
RR
New Jersey(1/26/2022)
RR
New Mexico(2/3/2022)
RR
New York(1/26/2022)
RR
North Carolina(2/3/2022)
RR
North Dakota(2/3/2022)
RR
Ohio(2/3/2022)
RR
Oklahoma(2/3/2022)
RR
Oregon(2/3/2022)
RR
Pennsylvania(2/3/2022)
RR
Puerto Rico(2/3/2022)
RR
Rhode Island(2/3/2022)
RR
South Carolina(2/3/2022)
RR
South Dakota(2/3/2022)
RR
Tennessee(2/3/2022)
RR
Texas(2/3/2022)
RR
Utah(2/3/2022)
RR
Vermont(2/3/2022)
RR
Virgin Islands(2/3/2022)
RR
Virginia(2/3/2022)
RR
Washington(2/3/2022)
RR
West Virginia(2/3/2022)
RR
Wisconsin(2/3/2022)
RR
Wyoming(2/3/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
UA
UBS ASSET MANAGEMENT (US) INC.
BRINSON ADVISORS | UBS GLOBAL ASSET MANAGEMENT (US) INC. | UBS GLOBAL ASSET MANAGEMENT | UBS ASSET MANAGEMENT (US) INC. | PAINE WEBBER MITCHELL HUTCHINS INC. | MITCHELL HUTCHINS ASSET MANAGEMENT INC. | BRINSON ADVISORS, INC.
CRD#: 583 / SEC#: , 8-21901
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
787 7th Avenue, New York, NY 10019
Mailing Address
787 7th Avenue, New York, NY 10019
Phone number
(212) 821-3000
Established
Delaware since 05/05/1977
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 10 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
