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Helen Hoffman

43 Years of Experience
New York, NY
5 DisclosuresBroker

Helen Hoffman is a registered investment advisor at UBS Financial Services INC., based in New York, NY, with 43 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

1285 Avenue of the Americas, 15 Thru 18th Floors, New York, NY, 10019

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History

Regulatory History (5)
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
January 2008
Settled
Customer Dispute
November 2004
Settled
Customer Dispute
April 1998
Settled
Customer Dispute
February 1998
Closed-No Action
Customer Dispute
September 1996
Award / Judgment
Other Business Activities

Helen is a partner in a real estate partnership managing a family beach house since 1993. Her responsibilities include bill payment and arranging rentals.

Employment History
Current Registrations
UBS Financial Services INC.
October 2012 - Present · 13 yrs 7 mos
UBS Financial Services INC.Broker
October 2012 - Present · 13 yrs 7 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
November 1998 - October 2012 · 13 yrs 11 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
November 1998 - October 2012 · 13 yrs 11 mos
Adolph Komorsky Hoffman & Associates LTDBroker
December 1995 - December 1998 · 3 yrs
Smith Barney INC.Broker
June 1994 - December 1995 · 1 yr 6 mos
Prudential Securities IncorporatedBroker
May 1992 - June 1994 · 2 yrs 1 mo
Dollar Dry Dock Investment Services, INC.Broker
October 1990 - May 1992 · 1 yr 7 mos
Murphey Favre, INC.Broker
April 1987 - October 1990 · 3 yrs 6 mos
E. F. Hutton & Company INCBroker
April 1982 - March 1987 · 4 yrs 11 mos
State Registrations26 states
AZCACOCTDCDEFLGAILINMAMDMEMIMONCNHNJNYOHPARISCTXVAWA
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.
Helen Hoffman - Financial Advisor | TrueAdvisor