JW
JW

John Witherspoon

43 Years of Experience
Boulder, CO
1 DisclosureBroker

John Witherspoon is a registered investment advisor at UBS Financial Services INC., based in Boulder, CO, 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

1801 13th Street, Boulder, CO, 80302

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History

Regulatory History (1)
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
October 2009
Settled
Other Business Activities

John rents out his primary home, generating rental income. This activity is investment-related.

Employment History
Current Registrations
UBS Financial Services INC.
August 2006 - Present · 19 yrs 9 mos
UBS Financial Services INC.
August 2006 - Present · 19 yrs 9 mos
UBS Financial Services INC.Broker
August 2006 - Present · 19 yrs 9 mos
Previous Registrations
Piper Jaffray & CO.
April 2005 - August 2006 · 1 yr 4 mos
Piper Jaffray & CO.Broker
April 2005 - August 2006 · 1 yr 4 mos
UBS Financial Services INC.
May 1999 - May 2005 · 6 yrs
UBS Financial Services INC.Broker
April 1999 - May 2005 · 6 yrs 1 mo
Everen Securities, INC.Broker
April 1995 - April 1999 · 4 yrs
Prudential Securities IncorporatedBroker
July 1994 - May 1995 · 10 mos
Painewebber IncorporatedBroker
August 1990 - July 1994 · 3 yrs 11 mos
George K. Baum & CompanyBroker
November 1989 - August 1990 · 9 mos
Stephens INC.Broker
December 1985 - November 1989 · 3 yrs 11 mos
Crews & Associates, INC.Broker
September 1982 - December 1985 · 3 yrs 3 mos
State Registrations18 states
ALARAZCACOFLIDMAMDMNNENVNYORTXVAWIWY
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.
John Witherspoon - Financial Advisor | TrueAdvisor