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James Cain

38 Years of Experience
Beverly Hills, CA
4 DisclosuresBroker

James Cain is a registered investment advisor at UBS Financial Services INC., based in Beverly Hills, CA, 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

131 South Rodeo Drive, Suite 300, Beverly Hills, CA, 90212

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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
January 2018
Denied
Customer Dispute
May 2017
Settled
Customer Dispute
April 2017
Settled
Customer Dispute
February 2000
Settled
Other Business Activities

James is involved with the John J Nelson Trust, overseeing the liquidation of assets and dispersal to beneficiaries since 2021. He also distributes income and principal for the George H Bauer Family Trust since 2009.

Employment History
Current Registrations
UBS Financial Services INC.
August 2011 - Present · 14 yrs 9 mos
UBS Financial Services INC.
August 2011 - Present · 14 yrs 9 mos
UBS Financial Services INC.Broker
August 2011 - Present · 14 yrs 9 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
October 2009 - August 2011 · 1 yr 10 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 2009 - August 2011 · 1 yr 10 mos
Banc of America Investment Services, INC.Broker
April 2003 - October 2009 · 6 yrs 6 mos
Banc of America Investment Services, INC.
April 2003 - October 2009 · 6 yrs 6 mos
Prudential Securities Incorporated
April 1998 - April 2003 · 5 yrs
Prudential Securities IncorporatedBroker
April 1998 - April 2003 · 5 yrs
Painewebber IncorporatedBroker
July 1992 - April 1998 · 5 yrs 9 mos
Dean Witter Reynolds INC.Broker
September 1987 - July 1992 · 4 yrs 10 mos
State Registrations14 states
AZCAIDINMIMTNCNVORPASDTXWAWI
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.
James Cain - Financial Advisor | TrueAdvisor