James
Patrick

Ubs Financial Services Inc

CRD#2246411
Investment Advisor
in Mill Valley, CA

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About this Advisor

James Patrick is a financial advisor working out of Mill Valley, California, with 22 years of work experience. Patrick works at Ubs Financial Services Inc. During their career, Patrick has held roles at Merrill Lynch, Pierce, Fenner & Smith Inc, Bank Of America, N.A and Ubs Financial Services Inc. Patrick has Series 63 and Series 65 licenses, which qualify them as both a securities agent and an investment advisor representative, and is approved to advise clients in California and Texas. Ubs Financial Services Inc is a financial advisory business headquartered in Mill Valley, California. The firm has offices in 369 locations and a total of 12,710 advisors. It manages $692 billion in total assets between its 1,073,865 accounts, making it one of the largest firms in the United States by assets under management. The firm advises 5,584 charities and foundations. Of its 1,073,865 client accounts, 66% belong to high-net-worth individuals who have more than $1 million in assets. Ubs Financial Services Inc offers a diverse assortment of services, including financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients, pension consulting services, selection of other advisers, publication of newsletters, security rating services and educational seminars. Financial advisory fee schedules depend on which services are provided. However, fee types billed by Ubs Financial Services Inc can include some combination of asset-based, hourly, fixed, commission-based and other fees.

Certifications and Registrations

Series 63, Series 65

Years of Experience

22 years

Services Offered

Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients, Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters, Security ratings or pricing services, Educational seminars/workshops

Fee Structure

Percentage of Assets, Hourly Charges, Fixed Fees, Commissions, Others

Disclosures

Yes

Office Location

2 Belvedere Place Suite 220
Mill Valley, CA 94941

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Ubs Financial Services Inc Brokerage Details

Total Assets Under Management

$692,292,245,524

CA Average: $10,121,009,343
Total Number of Employees

12,710

CA Average: 92
Total Number of Accounts

1,073,865

CA Average: 6,978
Average Account Size

$644,673

CA Average: $1,450,417

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Investment Advisory Services

  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses or institutional clients
  • Pension consulting services
  • Selection of other advisers
  • Publication of periodicals or newsletters
  • Security ratings or pricing services
  • Educational seminars/workshops

James Patrick Work History

James has 22 years of experience.

2019 - Present (4 years)

Ubs Financial Services Inc

2011 - 2019 (8 years)

Bank Of America,N.A

2000 - 2019 (19 years)

Merrill Lynch, Pierce, Fenner & Smith Inc

Disclosures

James Patrick has disclosures.

Please visit their SEC profile for more details.

Financial Advisors at Ubs Financial Services Inc

Genevieve Gacad
Los Angeles, CA
Matthew Gentzkow
Nashville, TN
Kevin Fennell
San Diego, CA
Marion Quina
Nashville, TN
Grace Seymour
Nashville, TN
Alex Gilman
New York, NY
Kristen Ellsworth
Nashville, TN
Elizabeth Fowlks
Wellesley Hills, MA

The content in this profile was updated by SmartAsset on 04/01/2022 using publicly available data compiled from the SEC and FINRA. To report any data inconsistencies or errors, please contact profile-compliance@smartasset.com.

The named financial professional and firm have not reviewed, approved, or endorsed this profile and are not responsible for its accuracy. Profile content is produced by SmartAsset independently of any business relationships that might exist between SmartAsset and the named financial professional and firm, and financial professionals and firms having business relationships with SmartAsset receive no special treatment or consideration in SmartAsset’s profiles.

This profile may include a firm or advisor that has a business relationship with SmartAsset, in which SmartAsset is compensated for lead referrals. SmartAsset is not a client of the aforementioned firms or advisors. SmartAsset did not receive compensation for including any of the firms or advisors in the aforementioned profile.

This page contains links to SmartAsset’s financial advisor matching tool, which may or may not match you with the advisor or firm mentioned in this profile. The matching tool does not include all available advisors and firms and matches based on specific criteria (investable assets, geography, and willingness to work with a remote advisor).

Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the certification marks CFP® and CERTIFIED FINANCIAL PLANNER™ in the United States, which it authorizes the use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.

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