James BeckerCRD Number: 1326976
Current Firm: Ubs Financial Services Inc.
James Becker (CRD# 1326976) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Saint Louis, MO and has over 33 years of experience in the finance industry.
Financial Planning Associates, Inc.
Cutter & Company, Inc.
Carsonallaria Wealth Management, Ltd.
|Ubs Financial Services Inc.||St. Louis, MO||Oct 1984 - Current||33|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Dec 1984|
|S65||NASAA Investment Advisors Law Examination||May 1993|
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