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Warren Mcpeters

UBS Financial Services INC.
42 Years of Experience
Hunt Valley, MD
2 DisclosuresBroker
View SEC Summary
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Warren Mcpeters is a registered investment advisor at UBS Financial Services INC., based in Hunt Valley, MD, with 42 years of industry experience. Warren 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.

UBS Financial Services INC.
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
View Full SEC Brochure

Location

307 International Circle, Hunt Valley, MD, 21031

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History

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.
Regulatory
May 2022
Final
Customer Dispute
October 2002
Denied
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
UBS Financial Services INC.
September 2024 - Present · 2 yrs 1 mo
UBS Financial Services INC.Broker
September 2024 - Present · 2 yrs 1 mo
UBS Financial Services INC.
September 2024 - Present · 2 yrs 1 mo
Previous Registrations
Nbc Securities, INC.Broker
June 2022 - September 2024 · 2 yrs 3 mos
Nbc Securities, INC.
June 2022 - September 2024 · 2 yrs 3 mos
RBC Capital Markets, LLCBroker
April 2009 - July 2022 · 13 yrs 3 mos
RBC Capital Markets, LLC
April 2009 - July 2022 · 13 yrs 3 mos
Citigroup Global Markets INC.
February 2006 - May 2009 · 3 yrs 3 mos
Citigroup Global Markets INC.Broker
February 2006 - May 2009 · 3 yrs 3 mos
Legg Mason Wood Walker INC
March 1991 - February 2006 · 14 yrs 11 mos
Legg Mason Wood Walker, IncorporatedBroker
November 1987 - February 2006 · 18 yrs 3 mos
Legg Mason Masten INC.Broker
October 1987 - November 1987 · 1 mo
Legg Mason Wood Walker, IncorporatedBroker
October 1983 - October 1987 · 4 yrs
State Registrations21 states
CACTDCDEFLGAILINKYMDMTNCNYOHPASCTXUTVAVTWV
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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