VB
VB
Vincent Battaglia
42 Years of Experience
Rochester, NY
3 DisclosuresBroker
Vincent Battaglia is a registered investment advisor at UBS Financial Services INC., based in Rochester, NY, with 42 years of industry experience. Vincent 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
400 Linden Oaks, Rochester, NY, 14625
Get directionsHistory
Regulatory History (3)
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 2012Denied
Customer Dispute
September 2004Settled
Customer Dispute
April 2001Settled
Employment History
Current Registrations
UBS Financial Services INC.
February 2007 - Present · 19 yrs 8 mos
UBS Financial Services INC.Broker
February 2007 - Present · 19 yrs 8 mos
Previous Registrations
Mcdonald Investments INC.
November 2006 - February 2007 · 3 mos
Mcdonald Investments INC.Broker
September 1998 - February 2007 · 8 yrs 5 mos
Essex Capital Markets, INC.Broker
June 1993 - September 1998 · 5 yrs 3 mos
Painewebber IncorporatedBroker
November 1991 - April 1993 · 1 yr 5 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
September 1983 - November 1991 · 8 yrs 2 mos
State Registrations49 states
ALARAZCACOCTDCDEFLGAIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTWAWIWVWY
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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