AF
Firm Information
Compensation
Commission-BasedFee-Only (AUM)Fixed/Hourly
Number of Advisors
9198 advisors
Number of Clients
1,134,581 clients
Average Client Portfolio
$713K average
Assets Under Management
$808.8B
Fee Structure
Minimum Investment:$5M
This brochure discusses various advisory programs offered by UBS Financial Services Inc. Fees are calculated as a percentage of assets in the account or a flat or annual fee and are charged on an ongoing basis. The minimum account opening size for the UBS Consolidated Advisory Program (CAP) and UBS Consolidated Advisory Program Select (CAP Select) will be reduced from $10,000,000 to $5,000,000 on or about February 1, 2026.
Areas of Practice
Investment ManagementFinancial Planning & Coaching
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Advisor Information
Office location
6070 Poplar Avenue, Suite 400, Memphis, TN, 38119
Get directionsRegulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
UBS Financial Services INC.
January 2009 - Present · 17 yrs
UBS Financial Services INC. Broker
December 2008 - Present · 17 yrs 1 mo
Previous Registrations
Banc of America Investment Services, INC.
September 2007 - December 2008 · 1 yr 3 mos
Banc of America Investment Services, INC.Broker
September 2007 - December 2008 · 1 yr 3 mos
Citigroup Global Markets INC. Broker
June 2005 - August 2007 · 2 yrs 2 mos
Citigroup Global Markets INC.
June 2005 - August 2007 · 2 yrs 2 mos
Merrill Lynch Pierce Fenner & Smith INC.
January 2005 - June 2005 · 5 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated Broker
December 2004 - June 2005 · 6 mos
State Registrations27 states
ARAZCACOCTDEFLHIIDILINKYLAMSNVNYOHOKORPASDTNTXVAWAWIWY
AdvisorBrokerBoth
Exams
No exam information available for this advisor.