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William Neuens

41 Years of Experience
Denver, CO
1 DisclosureBroker

William Neuens is a registered investment advisor at UBS Financial Services INC., based in Denver, CO, with 41 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

4600 S. Ulster Street -Suite 700, Metro Point One, Denver, CO, 80202

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History

Regulatory History (1)
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Customer Dispute
July 2001
Closed-No Action
Employment History
Current Registrations
UBS Financial Services INC.
December 2010 - Present · 15 yrs 7 mos
UBS Financial Services INC.
December 2010 - Present · 15 yrs 7 mos
UBS Financial Services INC.Broker
December 2010 - Present · 15 yrs 7 mos
Previous Registrations
Morgan Stanley Smith BarneyBroker
June 2009 - December 2010 · 1 yr 6 mos
Morgan Stanley Smith Barney LLC
June 2009 - December 2010 · 1 yr 6 mos
Morgan Stanley & CO. Incorporated
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley
January 1999 - April 2007 · 8 yrs 3 mos
Morgan Stanley Dw INC.Broker
April 1985 - April 2007 · 22 yrs
Shearson Lehman/american Express INC.Broker
August 1984 - November 1984 · 3 mos
Vanderbilt Securities, INC.Broker
April 1984 - July 1984 · 3 mos
Quantum Capital Group INC.Broker
October 1983 - March 1984 · 5 mos
Blinder, Robinson & Co.,inc.Broker
June 1983 - July 1983 · 1 mo
State Registrations13 states
AZCOFLILINKSMINHNVORSDWAWY
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.