JM
JM

James Munro

42 Years of Experience
Buffalo, NY
1 DisclosureBroker

James Munro is a registered investment advisor at UBS Financial Services INC., based in Buffalo, NY, with 42 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Retirement Planning, and 1 more. Their firm serves 1,134,581 clients with $810B in assets under management.

Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9502 advisors
IM Fee
Planning only
Assets Under Management
$808.8B

Fee Structure

UBS Financial Services Inc. offers financial planning services for a fee, with costs ranging from $500 to $50,000, though most clients pay between $1,000 and $10,000. Fees exceeding $50,000 but not more than $100,000 may be permitted for complex situations involving relationships with a net worth of $100 million or more. The fees are negotiable and may vary based on the range of services selected, the scope of the engagement, the complexity of the services, the nature and amount of client assets involved, and the financial advisor's business model.

One-Time Plan:$500 - $50,000
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Location

One Hsbc Center__Suite 3737, Buffalo, NY, 14203

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History

Regulatory History (1)
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Customer Dispute
December 2001
Denied
Other Business Activities

James was a member of the Board of Directors for St Marys Hospital Foundation from 2010 to 2018, participating in fundraising activities.

Employment History
Current Registrations
UBS Financial Services INC.
July 2014 - Present · 12 yrs
UBS Financial Services INC.
April 1997 - Present · 29 yrs 3 mos
UBS Financial Services INC.Broker
April 1997 - Present · 29 yrs 3 mos
Previous Registrations
Prudential Securities IncorporatedBroker
January 1988 - April 1997 · 9 yrs 3 mos
E. F. Hutton & Company INCBroker
February 1984 - January 1988 · 3 yrs 11 mos
First Jersey Securities, INC.Broker
November 1983 - January 1984 · 2 mos
State Registrations25 states
ARAZCACODEFLGAIDILMAMDMIMSMTNCNHNYOHPASCTNTXVAWAWY
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.