BS
BS

Barry Schwartz

40 Years of Experience
Miami, FL
3 DisclosuresBroker

Barry Schwartz is a registered investment advisor at UBS Financial Services INC., based in Miami, FL, with 40 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Retirement Planning, and 1 more. Their firm serves 1,134,581 clients with $810B in assets under management.

Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9502 advisors
IM Fee
Planning only
Assets Under Management
$808.8B

Fee Structure

UBS Financial Services Inc. offers financial planning services for a fee, with costs ranging from $500 to $50,000, though most clients pay between $1,000 and $10,000. Fees exceeding $50,000 but not more than $100,000 may be permitted for complex situations involving relationships with a net worth of $100 million or more. The fees are negotiable and may vary based on the range of services selected, the scope of the engagement, the complexity of the services, the nature and amount of client assets involved, and the financial advisor's business model.

One-Time Plan:$500 - $50,000
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Location

100 S.E. 2nd Street, 25th, Miami, FL, 33131

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History

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
December 2023
Settled
Regulatory
July 2013
Final
Customer Dispute
May 1997
Settled
Other Business Activities

Barry is involved with the Community Advisory Board for Miami-Dade Public Schools, Congregation B'nai Israel, and is a board member at Delaire Country Club. These activities require minimal time and are not investment-related.

Employment History
Current Registrations
UBS Financial Services INC.
June 2013 - Present · 12 yrs 11 mos
UBS Financial Services INC.
June 2013 - Present · 12 yrs 11 mos
UBS Financial Services INC.Broker
June 2013 - Present · 12 yrs 11 mos
Previous Registrations
Alliancebernstein L.P.
August 2008 - June 2013 · 4 yrs 10 mos
Sanford C. Bernstein & CO., LLCBroker
June 2008 - June 2013 · 5 yrs
Nationwide Investment Services CorporationBroker
April 1999 - August 2006 · 7 yrs 4 mos
Mfi Investments CORP.Broker
September 1994 - December 1998 · 4 yrs 3 mos
Investment Management & Research, INCBroker
January 1990 - September 1994 · 4 yrs 8 mos
Royal Alliance Associates, INC.Broker
November 1989 - January 1990 · 2 mos
Integrated Resources Equity CorporationBroker
November 1988 - November 1989 · 1 yr
Southmark Financial Services, INC.Broker
June 1983 - November 1988 · 5 yrs 5 mos
American Capital Financial Services, INC.Broker
June 1983 - December 1983 · 6 mos
Integrated Resources Equity CorporationBroker
June 1983 - November 1983 · 5 mos
State Registrations23 states
ALCACODEFLGAILINLAMAMDMIMSNCNJNYOHORSCTXUTVAVirgin Islands
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.