James Munro
James Munro is a registered investment advisor at UBS Financial Services INC., based in Buffalo, 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
One Hsbc Center__Suite 3737, Buffalo, NY, 14203
Get directionsHistory
Regulatory History (1)
Customer Dispute
December 2001Other 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.
UBS Financial Services INC.
UBS Financial Services INC.Broker
Previous Registrations
Prudential Securities IncorporatedBroker
E. F. Hutton & Company INCBroker
First Jersey Securities, INC.Broker
State Registrations25 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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