James Lyon
James Lyon is a registered investment advisor at UBS Financial Services INC., based in Westlake Village, CA, with 32 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
Firm Size
IM Fee
Assets Under Management
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.
Location
3011 Townsgate Road, Suite 300, Westlake Village, CA, 91361
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
James is a minority, non-controlling owner of two firms since 1998 and a former employee (resigned in 2006). He has no involvement in the business affairs or management of either firm and devotes no time to them.
Employment History
Current Registrations
UBS Financial Services INC.
UBS Financial Services INC.Broker
UBS Financial Services INC.
Previous Registrations
Finance 500, INC.Broker
Quasar Distributors, LLCBroker
Oakwood Capital Management LLC
First Fund Distributors, INC.Broker
American General Securities IncorporatedBroker
American General Securities IncorporatedBroker
Spelman & CO., INC.Broker
Sentra Securities CorporationBroker
State Registrations17 states
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.