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James Hart

UBS Financial Services INC.
40 Years of Experience
Albany, NY
2 DisclosuresBroker
View SEC Summary
View SEC Summary

James Hart is a registered investment advisor at UBS Financial Services INC., based in Albany, NY, with 40 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

8 Southwoods Blvd Suite 207, Albany, NY, 12211

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History

Regulatory History (2)
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 2003
Award / Judgment
Regulatory
September 1994
Final
View Full SEC ReportHow to Read Disclosures
Other Business Activities

James serves as president of the Albany City Rocks basketball club and is a general partner in MNM Holdings LLC, which owns a commercial building. He spends minimal time on these activities.

Employment History
Current Registrations
UBS Financial Services INC.Broker
February 2024 - Present · 2 yrs 8 mos
UBS Financial Services INC.
February 2024 - Present · 2 yrs 8 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
December 2010 - February 2024 · 13 yrs 2 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
December 2010 - February 2024 · 13 yrs 2 mos
Morgan Stanley Smith BarneyBroker
June 2009 - December 2010 · 1 yr 6 mos
Morgan Stanley Smith Barney LLC
June 2009 - December 2010 · 1 yr 6 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley & CO. Incorporated
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley
January 2006 - April 2007 · 1 yr 3 mos
Morgan Stanley Dw INC.Broker
January 2006 - April 2007 · 1 yr 3 mos
Wachovia Securities, LLC
July 2002 - January 2006 · 3 yrs 6 mos
Wachovia Securities, LLCBroker
August 2000 - January 2006 · 5 yrs 5 mos
First Albany CorporationBroker
July 1996 - August 2000 · 4 yrs 1 mo
Prudential Securities IncorporatedBroker
March 1993 - June 1996 · 3 yrs 3 mos
Lehman Brothers INC.Broker
November 1990 - March 1993 · 2 yrs 4 mos
Oppenheimer & CO., INC.Broker
March 1989 - December 1990 · 1 yr 9 mos
Lehman Brothers INC.Broker
October 1987 - March 1993 · 5 yrs 5 mos
E. F. Hutton & Company INCBroker
January 1986 - October 1987 · 1 yr 9 mos
State Registrations28 states
ALAZCACOCTDCDEFLGAILINMAMDMINCNJNVNYOHPAPRRISCTNTXUTVTWA
AdvisorBrokerBoth

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Exams
No exam information available for this advisor.
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