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Frederick Burrows

UBS Financial Services INC.
43 Years of Experience
Santa Barbara, CA
2 DisclosuresBroker
View SEC Summary
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Frederick Burrows is a registered investment advisor at UBS Financial Services INC., based in Santa Barbara, CA, with 43 years of industry experience. Frederick 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

222 E. Carrillo St., Suite 106, Santa Barbara, CA, 93101

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History

Regulatory History (2)
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
March 2000
Settled
Customer Dispute
February 1999
Award / Judgment
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
UBS Financial Services INC.
June 2015 - Present · 11 yrs 4 mos
UBS Financial Services INC.
June 2015 - Present · 11 yrs 4 mos
UBS Financial Services INC.Broker
June 2015 - Present · 11 yrs 4 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
July 2009 - June 2015 · 5 yrs 11 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
August 2008 - June 2015 · 6 yrs 10 mos
Citigroup Global Markets INC.
July 1997 - August 2008 · 11 yrs 1 mo
Citigroup Global Markets INC.Broker
December 1994 - August 2008 · 13 yrs 8 mos
Oppenheimer & CO., INC.Broker
February 1990 - December 1994 · 4 yrs 10 mos
Bear, Stearns & CO. INC.Broker
August 1986 - February 1990 · 3 yrs 6 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
January 1983 - September 1986 · 3 yrs 8 mos
State Registrations20 states
AZCAFLGAIDILMAMDMINCNVNYOHORRITXUTVAWAWY
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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