James DorneyCRD Number: 2997467
Current Firm: Ubs Financial Services Inc.
James Dorney (CRD# 2997467) is an Investment Advisor Representative working at Ubs Financial Services Inc. in New Haven, CT and has over 18 years of experience in the finance industry.
Sagepoint Financial, Inc.
Halsey Associates Inc.
Kanner Financial Services LLC
|Ubs Financial Services Inc.||New Haven, CT||Mar 2009 - Current||7|
|Citigroup Global Markets Inc.||New Haven, CT||Dec 1997 - Mar 2009||11|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Mar 1998|
|S65||NASAA Investment Advisors Law Examination||Mar 1998|
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