Joan Phinney is a registered investment advisor at UBS Financial Services INC., based in Sacramento, CA, with 34 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
Firm Size
IM Fee
Assets Under Management
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.
Location
1610 Arden Way, Sacramento, CA, 95815
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Joan is the treasurer for Sacramento Capitol A's/P, collecting dues and issuing checks since 2019. She is also listed as the successor trustee for The Danzig Living Trust, but currently has no duties.
Employment History
Current Registrations
UBS Financial Services INC.
UBS Financial Services INC.Broker
UBS Financial Services INC.
Previous Registrations
Wells Fargo Clearing Services, LLC
Wells Fargo Clearing Services, LLCBroker
RBC Dain Rauscher INC.Broker
RBC Dain Rauscher INC.
Citigroup Global Markets INC.Broker
Citigroup Global Markets INC.
Wells Fargo Investments, LLC
Wells Fargo Investments, LLCBroker
Robertson Stephens, INC.Broker
Dean Witter Reynolds INC.Broker
Everen Securities, INC.Broker
State Registrations29 states
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.