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James Hulburd

UBS Financial Services INC.
43 Years of Experience
San Francisco, CA
1 DisclosureBroker
View SEC Summary
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James Hulburd is a registered investment advisor at UBS Financial Services INC., based in San Francisco, CA, with 43 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.

UBS Financial Services INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9356 advisors
IM Fee
Planning only
Assets Under Management
$915.8B

Fee Structure

Investment management only (planning not offered)
  • 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.
One-Time Plan:$500 - $50,000
View Full SEC Brochure

Location

555 California St, 34th, 36th & 46th Floors, San Francisco, CA, 94104

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
October 1985
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

James serves as a trustee for The Bonderson Children's Trust since 2001. He dedicates minimal time to this for-profit activity.

Employment History
Current Registrations
UBS Financial Services INC.Broker
November 2014 - Present · 11 yrs 11 mos
UBS Financial Services INC.
November 2014 - Present · 11 yrs 11 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
October 2001 - November 2014 · 13 yrs 1 mo
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 2001 - November 2014 · 13 yrs 1 mo
Deutsche Banc Alex. Brown INC.Broker
January 2001 - October 2001 · 9 mos
Db Alex. Brown LLCBroker
September 1997 - January 2001 · 3 yrs 4 mos
Alex. Brown & Sons IncorporatedBroker
July 1994 - September 1997 · 3 yrs 2 mos
Cs First Boston CorporationBroker
January 1993 - July 1994 · 1 yr 6 mos
Smith Barney, Harris Upham & CO., IncorporatedBroker
May 1989 - January 1993 · 3 yrs 8 mos
Drexel Burnham Lambert IncorporatedBroker
May 1988 - May 1989 · 1 yr
Dean Witter Reynolds INC.Broker
April 1983 - April 1988 · 5 yrs
State Registrations22 states
ARAZCACOCTDEFLHIMAMDMINCNJNVNYOHORSDTNTXUTWA
AdvisorBrokerBoth

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
No exam information available for this advisor.
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