SB
SB
Susan Bailey
43 Years of Experience
Chicago, IL
2 DisclosuresBroker
Susan Bailey is a registered investment advisor at UBS Financial Services INC., based in Chicago, IL, with 43 years of industry experience. Susan 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
Chicago, IL
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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 2008Settled
Customer Dispute
March 2003Settled
Other Business Activities
Susan is a trustee for Bailey Rentals LLC, a real estate rental property business, since 2015.
Employment History
Current Registrations
UBS Financial Services INC.
April 2002 - Present · 24 yrs 6 mos
UBS Financial Services INC.
April 1989 - Present · 37 yrs 6 mos
UBS Financial Services INC.Broker
April 1989 - Present · 37 yrs 6 mos
Previous Registrations
Young, Smith & Peacock, INC.Broker
May 1988 - May 1989 · 1 yr
Shearson Lehman Hutton INC.Broker
February 1988 - April 1988 · 2 mos
E. F. Hutton & Company INCBroker
July 1983 - February 1988 · 4 yrs 7 mos
State Registrations28 states
ARAZCACOFLGAHIIDILINKYMDMIMNMTNCNMNYOKORPASCTNTXUTVAWAWI
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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