CC
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Charles Cooper
45 Years of Experience
Palm Beach Gardens, FL
3 DisclosuresBroker
Charles Cooper is a registered investment advisor at UBS Financial Services INC., based in Palm Beach Gardens, FL, with 45 years of industry experience. Charles is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, High Net Worth, Insurance Planning, and 3 more. Their firm serves 1,144,588 clients with $920B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9366 advisors
IM Fee
Planning only
Assets Under Management
$915.8B
Fee Structure
Investment management only (planning not offered)
- Customized Financial Planning Services — Typically ranges from $1,000 to $10,000, with a general range of $500 to $50,000 depending on the scope and complexity of the engagement. Fees up to $100,000 may be permitted for highly complex situations involving relationships with a net worth of $100 million or more.
One-Time Plan:$500 - $50,000
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Location
Palm Beach Gardens, FL
Get directionsHistory
Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
February 1998Denied
Customer Dispute
March 1992Award / Judgment
Customer Dispute
June 1987Settled
Employment History
Current Registrations
UBS Financial Services INC.Broker
April 2016 - Present · 10 yrs 6 mos
UBS Financial Services INC.
April 2016 - Present · 10 yrs 6 mos
Previous Registrations
Morgan StanleyBroker
June 2009 - April 2016 · 6 yrs 10 mos
Morgan Stanley
June 2009 - April 2016 · 6 yrs 10 mos
Citigroup Global Markets INC.
January 1994 - June 2009 · 15 yrs 5 mos
Citigroup Global Markets INC.Broker
July 1993 - June 2009 · 15 yrs 11 mos
Lehman Brothers INC.Broker
May 1988 - July 1993 · 5 yrs 2 mos
E. F. Hutton & Company INCBroker
December 1983 - May 1988 · 4 yrs 5 mos
Dean Witter Reynolds INC.Broker
July 1981 - December 1983 · 2 yrs 5 mos
State Registrations35 states
AZCACOCTDCDEFLGAIDILINKYLAMAMDMEMIMOMSNCNHNJNVNYOHORPASCTNTXUTVAVTWAWV
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.
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