DW
DW
David Walker
45 Years of Experience
Winter Park, FL
2 DisclosuresBroker
David Walker is a registered investment advisor at UBS Financial Services INC., based in Winter Park, FL, with 45 years of industry experience. David 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
9356 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
201 N. New York Avenue 3rd floor, Winter Park, FL, 32789
Get directionsHistory
Regulatory History (2)
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
December 1997Settled
Customer Dispute
November 1997Settled
Employment History
Current Registrations
UBS Financial Services INC.
September 1986 - Present · 40 yrs 1 mo
UBS Financial Services INC.Broker
August 1981 - Present · 45 yrs 2 mos
State Registrations27 states
ALAZCACOCTFLGAILKYLAMDMOMSNCNHNJNMNVNYOHOKPASCTNTXVAWA
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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