James Hart (CRD# 1449332) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Albany, NY and has over 38 years of experience in the finance industry.
CRD# 6091481
The Ayco Company, LP
CRD# 5123632
Cetera Investment Advisers LLC
CRD# 2853423
Albanyadvisor Group LLC
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Ubs Financial Services, Inc. | Albany, NY | Feb 2024 - Current | < 1 |
| Bank Of America, N.a. | Albany, NY | Jul 2011 - Feb 2024 | 12 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Albany, NY | Dec 2010 - Feb 2024 | 13 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Feb 1986 |
| S65 | NASAA Investment Advisors Law Examination | Jan 1993 |
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.
Get Details on the FINRA Advisor Check site- NJ
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Total Assets Under Management702,387MILLIONS
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Total Number of Accounts1,093,486ACCOUNTS
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Average Account Value$642,338
- A percentage of assets under your management
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- Financial planning services
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- Portfolio management for businesses (other than small businesses) or institutional clients
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