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James Daley

UBS Financial Services INC.
38 Years of Experience
Newtown, PA
3 DisclosuresBrokerSells Insurance
View SEC Summary
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James Daley is a registered investment advisor at UBS Financial Services INC., based in Newtown, PA, with 38 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

411 South State St., Newtown, PA, 18940

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History

Regulatory History (3)
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
March 2002
Settled
Customer Dispute
February 2002
Settled
Customer Dispute
January 2002
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

James is a trustee for an insurance trust, dedicating minimal time. He is also involved with a restaurant as President and part owner of related real estate and management entities, spending a few hours per week. Additionally, James is a board member for Camp Fatima, a camp for special needs children.

Employment History
Current Registrations
UBS Financial Services INC.
January 2002 - Present · 24 yrs 9 mos
UBS Financial Services INC.
January 1995 - Present · 31 yrs 9 mos
UBS Financial Services INC.Broker
January 1995 - Present · 31 yrs 9 mos
Previous Registrations
Kidder, Peabody & CO. IncorporatedBroker
February 1994 - January 1995 · 11 mos
Prudential Securities IncorporatedBroker
April 1988 - April 1994 · 6 yrs
State Registrations27 states
ALAZCACOCTDCDEFLGAILINMAMDMEMINCNJNVNYOHPARISCSDTXVAWY
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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