James Desousa
Investment adviser representative at UBS Financial Services Inc.
10 yearsExperience
1 stateRegistered in
$915.8BFirm assets
55 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat feeCommissionsOther
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
10 years in the industry.
- UBS Financial Services Inc.Jul 2025 to now
- Travel/unemployedJul 2024 to Jul 2025
- Wells Fargo Clearing Services, LLCOct 2022 to Jul 2024
- UnemployedJun 2022 to Oct 2022
- Guaranteed Rate AffinityOct 2021 to Jun 2022
- UnemployedMay 2020 to Oct 2021
- Wells FargoJun 2019 to Aug 2019
- Better Business BureauJun 2018 to Aug 2018
- College of the Holy CrossSep 2016 to May 2020
Exams passed
- Series 63 · Uniform Securities Agent State Law2024
- Series 66 · Uniform Combined State Law2025
State registrations
Registered as an investment adviser representative in 1 state (NJ).
UBS Financial Services Inc.
$915.8BAssets managed
1,144,588Clients
9,366Advisers
55 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 7708092
- Firm CRD
- 8174