JM
JM
James Mayeux
30 Years of Experience
Miamisburg, OH
1 DisclosureBroker
James Mayeux is a registered investment advisor at UBS Financial Services INC., based in Miamisburg, OH, with 30 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
3601 Rigby Road, Suite 500, Miamisburg, OH, 45342
Get directionsHistory
Regulatory History (1)
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Customer Dispute
April 2004Settled
Employment History
Current Registrations
UBS Financial Services INC.
April 2013 - Present · 13 yrs 6 mos
UBS Financial Services INC.Broker
April 2013 - Present · 13 yrs 6 mos
UBS Financial Services INC.
April 2013 - Present · 13 yrs 6 mos
Previous Registrations
Morgan StanleyBroker
June 2009 - May 2013 · 3 yrs 11 mos
Morgan Stanley
June 2009 - May 2013 · 3 yrs 11 mos
Citigroup Global Markets INC.
October 2001 - June 2009 · 7 yrs 8 mos
Citigroup Global Markets INC.Broker
October 2001 - June 2009 · 7 yrs 8 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
February 1997 - October 2001 · 4 yrs 8 mos
Prudential Securities IncorporatedBroker
October 1995 - February 1997 · 1 yr 4 mos
State Registrations39 states
ALAZCACODCDEFLGAHIIDILINKSKYLAMAMDMEMIMNMOMTNCNJNMNVNYOHOKORPARISCSDTNTXVAWAWI
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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