James Williams, financial advisor Jacksonville FL
73 score

James Williams

CRD Number: 5886166
Current Firm: Ubs Financial Services Inc.

James Williams (CRD# 5886166) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Jacksonville, FL and has over 5 years of experience in the finance industry.

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Company Name Location Dates Years
Ubs Financial Services Inc. Jacksonville, FL Mar 2014 - Current 2
Bank Of America, N.a. Jacksonville, FL Jul 2013 - Mar 2014 < 1
Merrill Lynch, Pierce, Fenner & Smith Incorporated Jacksonville, FL Jul 2013 - Jul 2013 < 1
Fidelity Brokerage Services, LLC Jacksonville, FL Jan 2011 - Jul 2013 2
Unemployed Orange Park, FL Sep 2010 - Jan 2011 < 1
Williams Fruit Farm Midville, GA Mar 2010 - Sep 2010 < 1
Unemployed Orange Park, FL Dec 2009 - Mar 2010 < 1
University Of Florida Gainesville, FL Jun 2005 - Dec 2009 4
Vector Marketing Jacksonville, FL May 2007 - Aug 2008 1
Soler & Palau Usa Jacksonville, FL May 2006 - Aug 2006 < 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Apr 2011
S66 NASAA Uniform Combined State Law Examination Dec 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 C. Williams
Phone Number: 201-352-3000
Registered State(s):
  • FL
  • TX
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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