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James Leen

UBS Financial Services INC.
44 Years of Experience
West Palm Beach, FL
3 DisclosuresBroker
View SEC Summary
View SEC Summary

James Leen is a registered investment advisor at UBS Financial Services INC., based in West Palm Beach, FL, with 44 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.

UBS Financial Services INC.
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
View Full SEC Brochure

Location

525 Okeechobee Blvd, Suite 1500, West Palm Beach, FL, 33401

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History

Regulatory History (3)
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
April 2017
Award / Judgment
Customer Dispute
February 2005
Settled
Customer Dispute
September 2002
Denied
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
UBS Financial Services INC.Broker
January 1995 - Present · 31 yrs 9 mos
UBS Financial Services INC.
January 1995 - Present · 31 yrs 9 mos
UBS Financial Services INC.
January 1995 - Present · 31 yrs 9 mos
Previous Registrations
Kidder, Peabody & CO. IncorporatedBroker
November 1993 - January 1995 · 1 yr 2 mos
Barnett Investments, INC.Broker
March 1989 - November 1993 · 4 yrs 8 mos
Barnett Bond Service, INC.Broker
December 1987 - April 1989 · 1 yr 4 mos
E. F. Hutton & Company INCBroker
November 1986 - May 1988 · 1 yr 6 mos
Mclaughlin, Piven, Vogel INC.Broker
September 1986 - November 1986 · 2 mos
Butcher & Singer INC.Broker
December 1985 - May 1986 · 5 mos
Gabriele, Hueglin & Cashman INC.Broker
June 1983 - May 1985 · 1 yr 11 mos
H. C. Copeland and Associates Equities, INC.Broker
July 1981 - May 1983 · 1 yr 10 mos
State Registrations25 states
ALCACOCTDCFLGAILMAMDMEMINCNHNJNYOHPASCTNTXVAWAWIWV
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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