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William Neuens
42 Years of Experience
Denver, CO
1 DisclosureBroker
William Neuens is a registered investment advisor at UBS Financial Services INC., based in Denver, CO, with 42 years of industry experience. William 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
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
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Location
4600 S. Ulster Street -Suite 700, Metro Point One, Denver, CO, 80237
Get directionsHistory
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
July 2001Closed-No Action
Employment History
Current Registrations
UBS Financial Services INC.
December 2010 - Present · 15 yrs 10 mos
UBS Financial Services INC.
December 2010 - Present · 15 yrs 10 mos
UBS Financial Services INC.Broker
December 2010 - Present · 15 yrs 10 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.
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