James Boon, financial advisor Denver CO
73 score

James Boon

CRD Number: 5627174
Current Firm: Ubs Financial Services Inc.

James Boon (CRD# 5627174) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Denver, CO and has over 7 years of experience in the finance industry.

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Company Name Location Dates Years
Ubs Financial Services Inc. Denver, CO Mar 2016 - Current < 1
Ubs Financial Services Inc. La Jolla, CA Nov 2013 - Mar 2016 2
Ubs Financial Services Inc. La Jolla, CA May 2010 - Nov 2013 3
No Coast Clothing Denver, CO Apr 2009 - Dec 2011 2
Charles Schwab & Co, Inc. Englewood, CO Dec 2008 - Apr 2010 1
Cbeyond Aurora, CO Oct 2007 - Oct 2008 1
Panera Denver, CO Sep 2006 - Oct 2008 2
Unemployed Denver, CO Jul 2006 - Sep 2006 < 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination May 2009
S66 NASAA Uniform Combined State Law Examination Aug 2011
Disclosure Information

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, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Criminal Record
Get Details on the FINRA Advisor Check site
Contact Info for James T. Boon
Phone Number: 201-352-3000
Registered State(s):
  • CA
  • TX
  • CO
By the Numbers
  • Total Assets Under Management
    358,253
    MILLIONS
  • Total Number of Accounts
    860,383
    ACCOUNTS
  • Average Account Value
    $416,388
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
  • Security ratings or pricing services
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
73

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