James Wiley, financial advisor Vienna VA
90 score

James Wiley

CRD Number: 6009174
Current Firm: Ubs Financial Services Inc.

James Wiley (CRD# 6009174) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Vienna, VA and has over 4 years of experience in the finance industry.

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Company Name Location Dates Years
Ubs Financial Services Inc. Vienna, VA Nov 2015 - Current 1
Morgan Stanley Bethesda, MD Jun 2013 - Nov 2015 2
Merrill Lynch, Pierce, Fenner & Smith Incorporated New York, NY Apr 2012 - Jun 2013 1
Vfinance Investments Livingston, NJ Sep 2011 - Apr 2012 < 1
Independent Legal Courier Los Angeles County, CA Jul 2011 - Sep 2011 < 1
Unemployed Altadena, CA Jun 2011 - Jul 2011 < 1
Bucknell University Lewisburg, PA Aug 2010 - May 2011 < 1
Unemployed Altadena, CA Jun 2010 - Aug 2010 < 1
Bucknell University Lewisburg, PA Aug 2009 - May 2010 < 1
Altadena Town And Country Club Altadena, CA Jun 2009 - Aug 2009 < 1
Bucknell University Lewisburg, PA Jan 2009 - May 2009 < 1
Bucknell University Lewisburg, PA Aug 2008 - Dec 2008 < 1
Altadena Town And Country Club Altadena, CA Jun 2008 - Aug 2008 < 1
Bucknell University Lewisburg, PA Dec 2007 - May 2008 < 1
Bucknell University Lewisburg, PA Aug 2007 - Dec 2007 < 1
Altadena Town And Country Club Altadena, CA Jun 2007 - Aug 2007 < 1
Polytechnic School Pasadena, CA Aug 2006 - Jun 2007 < 1
Altadena Town And Country Club Altadena, CA Jun 2006 - Aug 2006 < 1
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Jul 2012
Contact Info for James L. Wiley
Phone Number: 201-352-3000
Registered State(s):
  • VA
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
90
Clean Record
This advisor has a clean track record with regulators.

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