James
Cunningham
Ubs Financial Services Inc
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About this Advisor
James Cunningham is a financial advisor who works in New London, Connecticut, with a total of 4 years of industry experience. Cunningham is currently employed by Ubs Financial Services Inc. Throughout their career, Cunningham has worked at Ubs Financial Services, Inc, Roberts Food Center, Interactive Events, Inc/Read Amusements, The Connecticut Hospice, Inc, Corporation For National And Community Service and Fordham Law School. Cunningham has a Series 66 license, which qualifies them as both a securities agent and an investment advisor representative, and is approved to operate in Connecticut. Ubs Financial Services Inc is a financial advisory company that has its headquarters in Weehawken, NJ. The investment advisory business has offices in 369 locations and a total of 13,059 advisors. It administers $601 billion in assets under management among its 1,077,471 customer accounts, placing it among the biggest firms in the country by assets under management. The firm provides services to 8,062 charities and foundations. Of its 1,077,471 customer accounts, 65% are held by high-net-worth individuals who have greater than $1 million in investable assets. The firm performs a diverse set 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. Fees for financial advice largely depend on the financial services. However, fee types billed by Ubs Financial Services Inc can consist of some combination of asset-based, hourly, fixed, commission-based and other fees.
Certifications and Registrations
Years Registered*
Services Offered
Fee Structure
Office Location
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Ubs Financial Services Inc Brokerage Details
$600,808,847,012
13,059
1,077,471
$557,610
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 Cunningham Work History
James has been registered as a financial advisor for 4 years.*
Ubs Financial Services, Inc
Interactive Events, Inc/Read Amusements
Roberts Food Center
The Connecticut Hospice, Inc
Fordham Law School
Corporation For National And Community Service
*The number of years registered in this profile is calculated by taking the year of an advisor's first active registration and subtracting it from the current year.
Disclosures
Please visit the SEC profile of James Cunningham to learn whether or not they have any disclosures. It is important to do your due diligence when looking for an advisor.
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The content in this profile was updated by SmartAsset on 4/16/2023. All advisor details come from publicly available data, and we cannot guarantee the accuracy of the content. We are unable to make individual profile updates. If you want your profile removed temporarily or permanently, please contact profile-compliance@smartasset.com.
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