WC
WC

Warren Cox

42 Years of Experience
Rocky River, OH
1 DisclosureBroker

Warren Cox is a registered investment advisor at UBS Financial Services INC., based in Rocky River, OH, with 42 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
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9502 advisors
IM Fee
Planning only
Assets Under Management
$808.8B

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.

One-Time Plan:$500 - $50,000
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Location

18500 Lake Road, Suite 400, Rocky River, OH, 44116

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History

Regulatory History (1)
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Customer Dispute
February 2000
Denied
Employment History
Current Registrations
UBS Financial Services INC.
February 2007 - Present · 19 yrs 3 mos
UBS Financial Services INC.Broker
February 2007 - Present · 19 yrs 3 mos
Previous Registrations
Mcdonald Investments INC.
November 1999 - February 2007 · 7 yrs 3 mos
Mcdonald Investments INC.Broker
October 1996 - February 2007 · 10 yrs 4 mos
Dean Witter Reynolds INC.Broker
October 1990 - October 1996 · 6 yrs
Mcdonald & Company Securities, INC.Broker
July 1984 - October 1990 · 6 yrs 3 mos
Prescott, Ball & Turben, INC.Broker
January 1984 - June 1984 · 5 mos
State Registrations26 states
AKAZCACODCFLGAHIILINMAMDMINCNHNVNYOHORPASCTXVAVTWAWI
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.