JO
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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. 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
1075 Jordan Creek Parkway Suite 100, West Des Moines, IA, 50266
Get directionsHistory
Regulatory History (1)
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Customer Dispute
April 2016Denied
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 9 mos
UBS Financial Services INC.
September 1989 - Present · 37 yrs 1 mo
UBS Financial Services INC.Broker
September 1989 - Present · 37 yrs 1 mo
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.
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