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James Young

UBS Financial Services INC.
35 Years of Experience
Miamisburg, OH
1 DisclosureBroker
View SEC Summary
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James Young is a registered investment advisor at UBS Financial Services INC., based in Miamisburg, OH, with 35 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

3601 Rigby Road, Suite 500, Miamisburg, OH, 45342

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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
August 1997
Award / Judgment
View Full SEC ReportHow to Read Disclosures
Other Business Activities

James is a precinct captain for the Montgomery County Republican Party and a State Representative for the 42nd District of Ohio. As a State Representative, he develops and votes on policy and the state budget.

Employment History
Current Registrations
UBS Financial Services INC.Broker
August 2019 - Present · 7 yrs 2 mos
UBS Financial Services INC.
August 2019 - Present · 7 yrs 2 mos
UBS Financial Services INC.
August 2019 - Present · 7 yrs 2 mos
Previous Registrations
Morgan Stanley
June 2009 - August 2019 · 10 yrs 2 mos
Morgan StanleyBroker
June 2009 - August 2019 · 10 yrs 2 mos
Citigroup Global Markets INC.
April 2009 - June 2009 · 2 mos
Citigroup Global Markets INC.Broker
April 2009 - June 2009 · 2 mos
Wachovia Securities, LLCBroker
July 2003 - April 2009 · 5 yrs 9 mos
Wachovia Securities, LLC
July 2003 - April 2009 · 5 yrs 9 mos
Prudential Securities Incorporated
October 2000 - July 2003 · 2 yrs 9 mos
Prudential Securities IncorporatedBroker
September 2000 - July 2003 · 2 yrs 10 mos
First Union Securities, INC.Broker
October 1999 - September 2000 · 11 mos
First Union Capital Markets CORP.Broker
April 1996 - October 1999 · 3 yrs 6 mos
J.C. Bradford & CO.Broker
November 1992 - April 1996 · 3 yrs 5 mos
Painewebber IncorporatedBroker
May 1991 - December 1992 · 1 yr 7 mos
State Registrations9 states
ALCAFLMDMINCOHSCTX
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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