James
Lipari

Ubs Financial Services Inc

CRD#1520314
Investment Advisor
in Kansas City, MO
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About this Advisor

James Lipari is a certified financial planner operating in Kansas City, Missouri, with a total of 15 years of professional experience. Lipari works at Ubs Financial Services Inc. Over the course of their career, Lipari has held roles at Merrill Lynch, Pierce, Fenner & Smith Inc, Bank Of America, N.A and Ubs Financial Services Inc. Lipari has Series 63 and Series 65 licenses, designating them as both a securities agent and an investment advisor representative, and is able to operate in Kansas, Missouri and Texas. Ubs Financial Services Inc is a registered investment firm that has its headquarters in Kansas City, Missouri. The investment advisory business has offices in 369 locations and a total of 13,402 financial advisors. It handles $496 billion in total assets between its 922,927 accounts, making it one of the biggest investment advisory firms in the country by assets under management. The firm provides services to 4,543 charitable organizations. Of its 922,927 client accounts, 52% belong to high-net-worth individuals who have greater than $1 million in assets. The business provides a number of services, such as 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. A financial advisor's fee schedules depend on the financial services offered. However, fees charged by Ubs Financial Services Inc likely include any blend of asset-based, hourly, fixed, commission-based and other fees.

Certifications and Registrations

Series 63, Series 65, Certified Financial Planner

Years of Experience

15 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

700 West 47Th Street Ste 500
Kansas City, MO 64112

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Ubs Financial Services Inc Brokerage Details

Total Assets Under Management

$496,090,415,121

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

13,402

MO Average: 92
Total Number of Accounts

922,927

MO Average: 6,978
Average Account Size

$537,519

MO 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 Lipari Work History

James has 15 years of experience.

2015 - Present (4 years)

Ubs Financial Services Inc

2009 - 2015 (6 years)

Bank Of America, N.A

2003 - 2009 (6 years)

Merrill Lynch, Pierce, Fenner & Smith Inc

Disclosures

James Lipari has disclosures.

Please visit their SEC profile for more details.

This content was compiled from the SEC and FINRA.

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