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James Oplt

49 Years of Experience
West Des Moines, IA
1 DisclosureBroker

James Oplt is a registered investment advisor at UBS Financial Services INC., based in West Des Moines, IA, with 49 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

1075 Jordan Creek Parkway Suite 100, West Des Moines, IA, 50266

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History

Regulatory History (1)
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Customer Dispute
April 2016
Denied
Other Business Activities

James is a part owner of a convenience store. This activity is not investment-related.

Employment History
Current Registrations
UBS Financial Services INC.
January 1999 - Present · 27 yrs 4 mos
UBS Financial Services INC.
September 1989 - Present · 36 yrs 8 mos
UBS Financial Services INC.Broker
September 1989 - Present · 36 yrs 8 mos
Previous Registrations
Shearson Lehman Hutton INC.Broker
March 1988 - October 1989 · 1 yr 7 mos
E. F. Hutton & Company INCBroker
May 1978 - March 1988 · 9 yrs 10 mos
Dean Witter Reynolds INC.Broker
February 1978 - September 1978 · 7 mos
Dean Witter & CO. IncorporatedBroker
December 1976 - February 1978 · 1 yr 2 mos
State Registrations38 states
AKALARAZCACOCTDEFLGAHIIAIDILINKSLAMAMDMIMNMONCNENMNVNYOHOKORPASCSDTNTXUTWAWI
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 Oplt - Financial Advisor | TrueAdvisor