JL
JL

James Leugers

38 Years of Experience
Maineville, OH
1 DisclosureBroker

James Leugers is a registered investment advisor at UBS Financial Services INC., based in Maineville, OH, with 38 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

Maineville, OH

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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
February 1997
Settled
Employment History
Current Registrations
UBS Financial Services INC.
February 2007 - Present · 19 yrs 3 mos
UBS Financial Services INC.
February 2007 - Present · 19 yrs 3 mos
UBS Financial Services INC.Broker
February 2007 - Present · 19 yrs 3 mos
Previous Registrations
Mcdonald Investments INC.
January 2007 - February 2007 · 1 mo
Mcdonald Investments INC.Broker
October 1991 - February 2007 · 15 yrs 4 mos
Gradison & Company IncorporatedBroker
July 1987 - October 1991 · 4 yrs 3 mos
Fsc Securities CorporationBroker
March 1987 - June 1987 · 3 mos
State Registrations36 states
ALARAZCACOCTDCFLGAHIILINKYLAMAMDMEMIMNMOMTNCNENHNYOHOKORPASCTNTXUTVAWAWI
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.