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Michael Nelson

UBS Financial Services INC.
42 Years of Experience
Henderson, NV
3 DisclosuresBroker
View SEC Summary
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Michael Nelson is a registered investment advisor at UBS Financial Services INC., based in Henderson, NV, with 42 years of industry experience. Michael 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.

UBS Financial Services INC.
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

Henderson, NV

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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
September 2003
Closed-No Action
Customer Dispute
October 2001
Closed-No Action
Customer Dispute
September 1991
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Michael owns rental property in Henderson, Nevada, which he rents and maintains. He uses a self-directed IRA for this real estate investment.

Employment History
Current Registrations
UBS Financial Services INC.
November 2008 - Present · 17 yrs 11 mos
UBS Financial Services INC.
November 2008 - Present · 17 yrs 11 mos
UBS Financial Services INC.Broker
November 2008 - Present · 17 yrs 11 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
February 1988 - December 2008 · 20 yrs 10 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 1985 - December 2008 · 23 yrs 2 mos
Equico Securities, INC.Broker
February 1982 - August 1983 · 1 yr 6 mos
The Equitable Life Assurance Society of the United StatesBroker
February 1982 - August 1983 · 1 yr 6 mos
State Registrations28 states
AZCACODEFLIAILINLAMAMIMNMONCNENJNMNVNYOHOKPATNTXVAWAWIWY
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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