James Abernethy, financial advisor Winston Salem NC
81 score

James Abernethy

CRD Number: 1821508
Current Firm: Ubs Financial Services Inc.

James Abernethy (CRD# 1821508) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Winston Salem, NC and has over 30 years of experience in the finance industry.

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Company Name Location Dates Years
Ubs Financial Services Inc. Winston-salem, NC Jun 2012 - Current 6
Wachovia Securities, LLC Winston-salem, NC Jun 2003 - May 2012 8
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jun 1988
S65 NASAA Investment Advisors Law Examination Sep 1999
S66 NASAA Uniform Combined State Law Examination Jul 2012
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 E. Abernethy
Phone Number: 201-352-3000
Registered State(s):
  • NC
By the Numbers
  • Total Assets Under Management
    391,710
    MILLIONS
  • Total Number of Accounts
    885,967
    ACCOUNTS
  • Average Account Value
    $442,127
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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