James Watson, financial advisor Los Angeles CA
81 score

James Watson

CRD Number: 4487613
Current Firm: Ubs Financial Services Inc.

James Watson (CRD# 4487613) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Los Angeles, CA and has over 14 years of experience in the finance industry.

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Company Name Location Dates Years
Ubs Financial Services Inc. Los Angeles, CA Feb 2016 - Current < 1
J.p. Morgan Securities LLC Los Angeles, CA Oct 2012 - Feb 2016 3
Chase Investment Services Corp. Los Angeles, CA Mar 2012 - Oct 2012 < 1
Jpmorgan Chase Bank Los Angeles, CA Mar 2012 - Oct 2012 < 1
Quantum Community Development Corporation Inglewood, CA Nov 2011 - Feb 2012 < 1
Wells Fargo Bank Na Beverly Hills, CA Jan 2011 - Nov 2011 < 1
Wells Fargo Advisors, LLC Inglewood, CA Jan 2011 - Aug 2011 < 1
Wells Fargo Investments, LLC Inglewood, CA Feb 2009 - Jan 2011 1
Wells Fargo Bank Na Inglewood, CA Dec 2008 - Jan 2011 2
Festival Entertainment Of Texas, Inc. Houston, TX Nov 2007 - Dec 2008 1
Bank Of America, N.a. Los Angeles, CA Sep 2006 - Oct 2007 1
Banc Of America Investment Services, Inc. Los Angeles, CA Mar 2006 - Oct 2007 1
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Mar 2002
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:
  • Financial Issue
Get Details on the FINRA Advisor Check site
Contact Info for James W. Watson
Phone Number: 201-352-3000
Registered State(s):
  • CA
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
81

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