James Dillon
James Dillon is a registered investment advisor at UBS Financial Services INC., based in New York, NY, with 42 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, High Net Worth, Insurance Planning, and 3 more. Their firm serves 1,144,588 clients with $920B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Fee Structure
- Customized Financial Planning Services — Typically ranges from $1,000 to $10,000, with a general range of $500 to $50,000 depending on the scope and complexity of the engagement. Fees up to $100,000 may be permitted for highly complex situations involving relationships with a net worth of $100 million or more.
Location
1285 Avenue of the Americas, 15 Thru 18th Floors, New York, NY, 10019
Get directionsHistory
Regulatory History (1)
Customer Dispute
August 2017Other Business ActivitiesSells Insurance
James performs administrative tasks for The Richard Phillip Dill Irrevocable Trust, a life insurance trust for estate planning purposes. This activity is not investment-related and requires minimal time.
Employment History
Current Registrations
UBS Financial Services INC.
UBS Financial Services INC.Broker
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Advest, INC.Broker
Lebenthal & CO., INC.Broker
State Registrations30 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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