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Scott Nelson
43 Years of Experience
Lake Oswego, OR
2 DisclosuresBroker
Scott Nelson is a registered investment advisor at UBS Financial Services INC., based in Lake Oswego, OR, with 43 years of industry experience. Scott 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.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9356 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
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Location
5300 Meadows Rd, Suite 300, Lake Oswego, OR, 97035-3229
Get directionsHistory
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 2000Settled
Customer Dispute
August 1999Denied
Employment History
Current Registrations
UBS Financial Services INC.
July 2013 - Present · 13 yrs 3 mos
UBS Financial Services INC.
August 2006 - Present · 20 yrs 2 mos
UBS Financial Services INC.Broker
August 2006 - Present · 20 yrs 2 mos
Previous Registrations
Piper Jaffray & CO.Broker
July 1985 - August 2006 · 21 yrs 1 mo
Transamerica Financial Resources, INC.Broker
April 1984 - June 1985 · 1 yr 2 mos
Isfa CorporationBroker
March 1983 - April 1984 · 1 yr 1 mo
State Registrations29 states
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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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