James Foard
James Foard is a registered investment advisor at UBS Financial Services INC., based in Springfield, MA, with 26 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
Firm Size
IM Fee
Assets Under Management
Fee Structure
- 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.
Location
One Monarch Place, Suite 720, Springfield, MA, 01144
Get directionsHistory
Regulatory History (1)
Customer Dispute
March 2009Other Business ActivitiesSells Insurance
James is a trustee for the A.G. M.M. Irrevocable Life Insurance Trust, monitoring life insurance owned by the trust since 2016. This activity is not investment-related.
Employment History
Current Registrations
UBS Financial Services INC.
UBS Financial Services INC.Broker
UBS Financial Services INC.
Previous Registrations
Prudential Securities IncorporatedBroker
State Registrations38 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.
Exams
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