James Crawford, financial advisor New London CT

James Crawford

CRD Number: 56701
Current Firm: Ubs Financial Services Inc.

James Crawford (CRD# 56701) is an Investment Advisor Representative working at Ubs Financial Services Inc. in New London, CT and has over 40 years of experience in the finance industry.

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Company Name Location Dates Years
Ubs Financial Services Inc. New London, CT Mar 2015 - Current 7
Highland Capital Brokerage New London, CT Jun 2011 - Mar 2015 3
The Financial Workshop, Inc. New London, CT Jan 2011 - Mar 2015 4
Insurance Non-variable Bridgeville, PA Dec 2009 - Mar 2015 5
Insurance Non-variable Hartford, CT Dec 2009 - Mar 2015 5
Raymond James Financial Services Advisors, Inc. New London, CT Jan 2009 - Mar 2015 6
Raymond James Financial Services, Inc. Noank, CT Jan 1999 - Mar 2015 16
Independent Insurance Agent West Hartford, CT Jun 1994 - Mar 2015 20
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jul 1981
S65 NASAA Investment Advisors Law Examination Jun 1995
Contact Info for James A. Crawford
Phone Number: 201-352-3000
Registered State(s):
  • CT
  • ME
  • TX
By the Numbers
  • Total Assets Under Management
    692,292
    MILLIONS
  • Total Number of Accounts
    1,073,865
    ACCOUNTS
  • Average Account Value
    $644,673
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, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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