James ThompsonCRD Number: 4624093
Current Firm: Ubs Financial Services Inc.
James Thompson (CRD# 4624093) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Lexington, KY and has over 16 years of experience in the finance industry.
Pierce Financial Planning, Inc.
Investment Professionals, Inc.
Context Financial LLC
|Ubs Financial Services Inc.||Lexington, KY||Jul 2013 - Current||4|
|Ubs Financial Services Inc.||Lexington, KY||Feb 2012 - Jul 2013||1|
|Cooper Management Service, Inc.||Lexington, KY||Jul 2001 - Feb 2012||10|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Apr 2012|
|S65||NASAA Investment Advisors Law Examination||Feb 2001|
Total Assets Under Management358,253MILLIONS
Total Number of Accounts860,383ACCOUNTS
Average Account Value$416,388
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- 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
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