JB
JB
James Boullion
33 Years of Experience
Phoenix, AZ
6 DisclosuresBroker
James Boullion is a registered investment advisor at UBS Financial Services INC., based in Phoenix, AZ, with 33 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
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
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Location
2575 East Camelback Road, Suite 900, Phoenix, AZ, 85016
Get directionsHistory
Regulatory History (6)
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
October 2012Denied
Customer Dispute
March 2008Settled
Customer Dispute
May 2003Denied
Customer Dispute
February 2003Denied
Customer Dispute
May 2002Settled
Customer Dispute
December 2000Denied
Employment History
Current Registrations
UBS Financial Services INC.
September 2006 - Present · 20 yrs 1 mo
UBS Financial Services INC.
February 2001 - Present · 25 yrs 8 mos
UBS Financial Services INC.Broker
February 2001 - Present · 25 yrs 8 mos
Previous Registrations
Prudential Securities IncorporatedBroker
April 1997 - March 2001 · 3 yrs 11 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
February 1993 - April 1997 · 4 yrs 2 mos
State Registrations22 states
AZCACTFLGAIDILMDMIMNMOMTNCNMNVNYPATXUTVAWAWI
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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