JM
JM

James Matthews

53 Years of Experience
Houston, TX
1 DisclosureBroker

James Matthews is a registered investment advisor at UBS Financial Services INC., based in Houston, TX, with 53 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
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9502 advisors
IM Fee
Planning only
Assets Under Management
$808.8B

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.

One-Time Plan:$500 - $50,000
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Location

750 Town and Country Blvd, Suite 400, Houston, TX, 77024

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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
March 2008
Settled
Employment History
Current Registrations
UBS Financial Services INC.
August 2000 - Present · 25 yrs 9 mos
UBS Financial Services INC.
August 2000 - Present · 25 yrs 9 mos
UBS Financial Services INC.Broker
August 2000 - Present · 25 yrs 9 mos
Previous Registrations
J.C. Bradford & CO.Broker
March 1999 - August 2000 · 1 yr 5 mos
Salomon Smith Barney INC.Broker
June 1991 - April 1999 · 7 yrs 10 mos
Lehman Brothers INC.Broker
March 1987 - June 1991 · 4 yrs 3 mos
Lovett Mitchell Webb & Garrison, INC.Broker
July 1986 - March 1987 · 8 mos
Rauscher Pierce Refsnes, INC.Broker
February 1984 - June 1986 · 2 yrs 4 mos
Schneider, Bernet & Hickman, INC.Broker
May 1981 - February 1984 · 2 yrs 9 mos
Rauscher Pierce Refsnes, INC.Broker
April 1979 - June 1981 · 2 yrs 2 mos
Loeb PartnersBroker
January 1978 - May 1979 · 1 yr 4 mos
Loeb Rhoades & CO. INC.Broker
January 1977 - January 1978 · 1 yr
Loeb, Rhoades & CO. INC.Broker
March 1974 - January 1977 · 2 yrs 10 mos
Rauscher Pierce Securities CorporationBroker
February 1973 - March 1974 · 1 yr 1 mo
State Registrations12 states
COFLINLAMINCNYOHPATXVAWA
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.
James Matthews - Financial Advisor | TrueAdvisor