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Deborah Bauer

UBS Financial Services INC.
44 Years of Experience
Houston, TX
1 DisclosureBroker
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Deborah Bauer is a registered investment advisor at UBS Financial Services INC., based in Houston, TX, with 44 years of industry experience. Deborah 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
View Full SEC Brochure

Location

750 Town and Country Blvd, Suite 400, Houston, TX, 77024

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History

Regulatory History (1)
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Customer Dispute
July 2024
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Deborah is the treasurer and a board member of the Periwinkle Foundation, which supports children with cancer and other life-threatening illnesses. She is also involved with the Houston Junior Woman's Club, Bauer Family Limited Partnership, Bauer 2012 LLC, and Ronald McDonald House Houston, dedicating minimal time to board meetings for the latter.

Employment History
Current Registrations
UBS Financial Services INC.
April 2009 - Present · 17 yrs 6 mos
UBS Financial Services INC.Broker
April 2009 - Present · 17 yrs 6 mos
Previous Registrations
Citigroup Global Markets INC.
August 1988 - April 2009 · 20 yrs 8 mos
Citigroup Global Markets INC.Broker
August 1988 - April 2009 · 20 yrs 8 mos
Rotan Mosle INC.Broker
May 1985 - August 1988 · 3 yrs 3 mos
E. F. Hutton & Company INCBroker
May 1982 - May 1985 · 3 yrs
State Registrations24 states
ALARAZCACOFLINLAMAMDMIMTNCNHNYOHPASCTNTXUTVAWAWI
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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