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James Ducey

UBS Financial Services INC.
42 Years of Experience
Boston, MA
4 DisclosuresBroker
View SEC Summary
View SEC Summary

James Ducey is a registered investment advisor at UBS Financial Services INC., based in Boston, MA, 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.

UBS Financial Services INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9366 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

One Post Office Square, Boston, MA, 02109

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History

Regulatory History (4)
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
May 2010
Settled
Customer Dispute
October 2006
Award / Judgment
Customer Dispute
November 1994
Settled
Customer Dispute
October 1990
Award / Judgment
View Full SEC ReportHow to Read Disclosures
Other Business Activities

James is a member of the Board of Directors for the Massachusetts Business Roundtable, an organization focused on education, healthcare, and workforce development. He attends quarterly meetings.

Employment History
Current Registrations
UBS Financial Services INC.
February 2009 - Present · 17 yrs 8 mos
UBS Financial Services INC.Broker
February 2009 - Present · 17 yrs 8 mos
Previous Registrations
Citigroup Global Markets INC.
May 2001 - February 2009 · 7 yrs 9 mos
Citigroup Global Markets INC.Broker
July 1993 - February 2009 · 15 yrs 7 mos
Lehman Brothers INC.Broker
May 1991 - July 1993 · 2 yrs 2 mos
Prudential Securities IncorporatedBroker
January 1988 - May 1991 · 3 yrs 4 mos
E. F. Hutton & Company INCBroker
December 1984 - February 1988 · 3 yrs 2 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
April 1984 - November 1984 · 7 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
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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