Tailored wealth advice

Professional guidance that helps inspire confidence

James Small Financial Group

By understanding what’s most important to you, we can organize your financial life to help make sure your short-term needs don't cloud your long-term goals. We provide a structure so you clearly understand where your money is, and why. The plan we create together can help you stay focused at each stage of life, today, tomorrow and for future generations.

Retired couple

Pursuing your goals together

Our mission is to provide quality strategies customized to your needs. Our goal is to be your primary source of financial advice. To this end, we concentrate our efforts on developing long-term relationships through a commitment to quality client service.

  • Jim Small Profile Photo

    James "Jim" Small, CFP, CEPA®

    Managing Director–Wealth Management

    Financial Advisor

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    • AK
    • AL
    • AZ
    • CA
    • CO
    • CT
    • DE
    • FL
    • GA
    • HI
    • IA
    • ID
    • IL
    • IN
    • KS
    • KY
    • LA
    • MA
    • MD
    • ME
    • MI
    • MN
    • MO
    • MS
    • MT
    • NC
    • NJ
    • NM
    • NV
    • NY
    • OH
    • OK
    • OR
    • PA
    • RI
    • SD
    • TN
    • TX
    • VA
    • VI
    • WA
    • WY

    Jim started his financial career as an insurance specialist for the Chicago Chamber of Commerce in 1990.  He became securities licensed in 1991 and, shortly after, went to work for Citicorp Investment Services/Smith Barney in Chicago. 

    In 1995, Jim relocated to Las Vegas to open a new financial center for Citibank in Summerlin.  Jim grew his business to over $300 million in assets.  He received numerous awards during his tenure with Citicorp Investment Services/Smith Barney, including winning the prestigious Citistar award each of the 10 years it was awarded. 

    In 2007, Jim was named as the #12 Financial Advisor in the country by Bank Consultant Magazine (listing the top 50 advisors out of 33,000 advisors nationwide) and again made the top 25 in 2008. 

    In 2009, Jim came to UBS to become a true wealth advisor and to expand the services and products available to his clients. 

    Jim has a Series 7, 63 & 65 license, as well as a Health & Life Insurance license.  Jim also is a Certified Financial Planner (CFP®), Certified Exit Planning Advisor (CEPA®), and Registered Investment Advisor (RIA).  

    Jim has been an arbitrator for the NASD, now FINRA for more than 25 years.

    On a personal level, Jim is FEMA certified in animal rescue.  He enjoys travel, fishing and all types of adventure sports.

    • Barron's Top 1,200 Financial Advisors, 2018, 2019, 2020, 2021
      The Barron's rating is awarded annually in March and is based on information from the prior year Q3. 
    • Forbes Best-in-State Wealth Advisors, 2018, 2019, 2020, 2021, 2022The Forbes rating is compiled by Shook Research and awarded annually in April based on information from a 12 month period ending June of the prior year.
    • Forbes Best-in-State Wealth Management Teams, 2023The Forbes rating is awarded annually in November and is based on information from March of the prior year to March of the award year. 

      • CERTIFIED FINANCIAL PLANNER™
      • Certified Exit Planning Advisor
      • Senior Portfolio Manager
      10801 W Charleston Boulevard
      Suite 400
      Las Vegas, NV 89135
    • Hees

      Morgan Paul Hees

      Senior Vice President–Wealth Management

      Financial Advisor

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      • AK
      • AL
      • AZ
      • CA
      • CO
      • CT
      • DE
      • FL
      • GA
      • HI
      • IA
      • ID
      • IL
      • IN
      • KS
      • KY
      • LA
      • MA
      • MD
      • ME
      • MI
      • MN
      • MO
      • MS
      • MT
      • NC
      • NH
      • NJ
      • NM
      • NV
      • NY
      • OH
      • OK
      • OR
      • PA
      • RI
      • SD
      • TN
      • TX
      • VA
      • VI
      • WA
      • WY

      Morgan Hees began his career in the financial services industry in 1985 with the municipal bond desk of Dean Witter Reynolds in Los Angeles, CA.  He earned his MBA from the Peter F. Drucker Graduate Management Center of Claremont Graduate University in 1991.  After moving to Santa Fe, Morgan began his financial advisory business in 1995 and has since earned his Portfolio Manager designation with the successor firm, Morgan Stanley.  In January 2015, he joined UBS Financial Services to form Hees Wealth Management Consultants.

      A native of California, Morgan received his Bachelor of Arts degree in Political Science from the University of California, Berkeley.  He and his wife, Katy, were married in 1984 and have three children.  Morgan is active in the Santa Fe community, having been a Business Leader of the Lensic Theater he currently serves as a member of the endowment committee for the Santa Fe Preparatory School. In his free time, Morgan enjoys gardening, reading, and numerous outdoor activities.

            141 East Palace Avenue
            Coronado Building
            Santa Fe, NM 87501
          • Peggy Thompson Profile Photo

            Margaret "Peggy" Thompson

            Team Administrator

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            • NV

            Peggy started as a Client Service Associate after moving to Las Vegas in 1997.  Before embarking on her career in the financial industry, she came from a legal administrative background for a very large law firm in downtown Chicago. Additionally, Peggy was the youngest Senior Citizen Activities Director in Illinois for over 10 years where she handled senior citizen matters including subsidized housing, meals-on-wheels, activities, extended trips and elder care.

            One of Peggy’s fortes is with our older clientele.  She assists our clients with computer access, checkbook balancing, estate sales when moving to assisted living, and arrangement of transportation for appointments. Likewise, Peggy helps surviving family members of deceased clients handle their affairs. She also has made it a point to visit clients to help alleviate depression and isolation that have increased since the pandemic.

            Peggy is currently the Team Administrator.  She holds Series 63 and 7 licenses, as well as a Health & Life Insurance license.  She chairs UBS’ Desert Market’s charitable functions. She serves as a board member of various charities and has consistently led the Desert Market to the top of all UBS markets for participation and individual hours of volunteer service.

            Additionally, Peggy has varied talents in the entertainment arena, including 18 years of classical piano training, 12 years in guitar and is a vocalist.  She currently performs for local charities as her way of giving back to her community.

            Peggy is a FEMA certified volunteer to rescue animals in national emergencies, such as Hurricane Katrina or the California wildfires.  She enjoys travel, animals, and is an avid photographer.

            “I am not only involved in the financial picture for our clients, but I enjoy providing personal assistance in day-to-day living as many of our clients are retired.  I consider each of our clients as our extended family and like to be sure each of them is treated as such.” -Peggy Thompson

                  10801 W Charleston Boulevard
                  Suite 400
                  Las Vegas, NV 89135
                • Colin Christy Profile Photo

                  Colin Christy, CFA®, CAIA

                  Senior Wealth Strategy Associate

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                  • AL
                  • AZ
                  • CA
                  • CO
                  • DE
                  • FL
                  • GA
                  • IA
                  • ID
                  • IL
                  • IN
                  • LA
                  • MA
                  • MD
                  • MI
                  • MO
                  • MS
                  • MT
                  • NC
                  • NE
                  • NJ
                  • NM
                  • NV
                  • NY
                  • OH
                  • OK
                  • OR
                  • PA
                  • SD
                  • TN
                  • TX
                  • UT
                  • VA
                  • WA
                  • WY

                  Colin earned his B.S. in Finance from the University of Nevada, Las Vegas.  Prior to joining UBS, Colin ran his own VIP concierge service that catered to multiple high net worth clients in Las Vegas.  After substantial growth, Colin decided to sell his company and change directions by moving into the finance sector.  While studying at UNLV, he worked with an institutional pension consulting firm which allowed him to gain valuable insight in to the industry. Colin holds the Series 7 and 66 licenses, as well as Health, Life and Variable Annuity insurance licenses.   He has lived in the Las Vegas Valley for over 10 years and in his free time he enjoys hiking, reading and volunteering at the local animal shelters. 

                    • University of Nevada, Las Vegas, B.S.
                    • Chartered Financial Analyst®
                    • Chartered Alternative Investment Analyst®
                    10801 W Charleston Boulevard
                    Suite 400
                    Las Vegas, NV 89135
                  • Bojana Grujicic Profile Photo

                    Bojana Grujicic

                    Wealth Strategy Associate

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                    • CA
                    • NV

                    Bojana has been in the financial industry for 5 years and is actively working towards her CFP designation. She currently holds the series 7 and series 66 securities licenses, as well as Health, Life and Variable Annuity insurance licenses. She is responsible for providing support in the daily brokerage operations and team organization. She works closely with Colin on the integration of new relationships. Bojana is also in charge of market research and marketing.

                    "I strive to empower clients in their financial goals and support their endeavors while providing insight and guidance on their portfolio strategies.  My goal in life is to be an advisor and help clients reach their greatest potential." - Bojana Grujicic

                          10801 W Charleston Boulevard
                          Suite 400
                          Las Vegas, NV 89135
                        • Nicole

                          Nicole DiTommaso

                          Client Associate

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                            Nicole began her financial career with the UBS Service Group specializing in Retirement accounts. She has been a Client Service Associate since 2021. Nicole assists with daily operations, marketing, and client services. She currently holds the series 7 securities license. Prior to embarking on a new profession in the financial industry, Nicole had a reputable career in event management. Nicole holds a B.S. from the University of Nevada, Las Vegas and in her leisure enjoys gardening, hiking, and spending time with family.   

                            “Discovering this industry and learning about finance has been inspiring and rewarding. Supporting people fulfills me, and I prioritize building customer relationships. I feel lucky to be a part of the best team in finance!” - Nicole DiTommaso 

                              • University of Nevada, Las Vegas, B.S.
                                10801 W Charleston Boulevard
                                Suite 400
                                Las Vegas, NV 89135

                              The circular economy: What is it?

                              Retirement planning

                              Retirement planning

                              Multigenerational planning

                              Multigenerational planning

                              Legacy—Wealth for others

                              For needs that go beyond your own—to help you improve the lives of others

                              What will your legacy be?
                              It’s never too early to plan ahead. A Legacy strategy can help you gain more control over your financial future and what you leave behind, so you can move forward with confidence.

                              Learn more at ubs.com/wealthway.

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                              A global leader in wealth management

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                              In invested assets globally 
                              As of 06/30/2022

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