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Denis Roy

UBS Financial Services INC.
43 Years of Experience
San Francisco, CA
1 DisclosureBroker
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Denis Roy is a registered investment advisor at UBS Financial Services INC., based in San Francisco, CA, with 43 years of industry experience. Denis 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

555 California St, 34th, 36th & 46th Floors, San Francisco, CA, 94104

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History

Regulatory History (1)
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Customer Dispute
September 2020
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Denis is involved with UC Berkley, a non-profit organization, since 2015. He is also a partner at The Great Bailey Island Land Co., a real estate and investment firm, since 2015.

Employment History
Current Registrations
UBS Financial Services INC.
March 2015 - Present · 11 yrs 7 mos
UBS Financial Services INC.
March 2015 - Present · 11 yrs 7 mos
UBS Financial Services INC.Broker
March 2015 - Present · 11 yrs 7 mos
Previous Registrations
Morgan StanleyBroker
June 2009 - March 2015 · 5 yrs 9 mos
Morgan Stanley
June 2009 - March 2015 · 5 yrs 9 mos
Citigroup Global Markets INC.
July 1997 - June 2009 · 11 yrs 11 mos
Citigroup Global Markets INC.Broker
July 1993 - June 2009 · 15 yrs 11 mos
Lehman Brothers INC.Broker
November 1992 - July 1993 · 8 mos
Everen Securities, INC.Broker
September 1990 - December 1992 · 2 yrs 3 mos
Bateman Eichler, Hill Richards, IncorporatedBroker
January 1990 - September 1990 · 8 mos
Sutro & CO. IncorporatedBroker
October 1982 - January 1990 · 7 yrs 3 mos
State Registrations34 states
AZCACOCTDCDEFLGAHIIDINKYMAMDMEMIMNMOMTNCNHNMNVNYOHORPATNTXUTVAWAWIWY
AdvisorBrokerBoth

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Exams
No exam information available for this advisor.
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