JO
JO
James O'connell
34 Years of Experience
Chicago, IL
3 DisclosuresBroker
James O'connell is a registered investment advisor at UBS Financial Services INC., based in Chicago, IL, with 34 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.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9356 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
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Location
1 North Wacker Drive, 32nd & 33rd, Chicago, IL, 60606
Get directionsHistory
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.
Judgment / Lien
July 2026Customer Dispute
December 2006Settled
Customer Dispute
May 2001Denied
Employment History
Current Registrations
UBS Financial Services INC.
May 2009 - Present · 17 yrs 5 mos
UBS Financial Services INC.
May 2009 - Present · 17 yrs 5 mos
UBS Financial Services INC.Broker
May 2009 - Present · 17 yrs 5 mos
Previous Registrations
Citigroup Global Markets INC.
February 1998 - May 2009 · 11 yrs 3 mos
Citigroup Global Markets INC.Broker
July 1993 - May 2009 · 15 yrs 10 mos
Lehman Brothers INC.Broker
August 1992 - July 1993 · 11 mos
State Registrations17 states
AZCACOFLILINKSMDMEMINCNMNVNYTNTXWI
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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