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Nancy Bernstein

UBS Financial Services INC.
41 Years of Experience
Warren, NJ
2 DisclosuresBroker
View SEC Summary
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Nancy Bernstein is a registered investment advisor at UBS Financial Services INC., based in Warren, NJ, with 41 years of industry experience. Nancy 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

184 Liberty Corner Road, Suite 101, Warren, NJ, 07059

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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.
Customer Dispute
August 2008
Denied
Customer Dispute
December 2000
Award / Judgment
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Nancy was the president of a T-shirt business since 2006, but the business no longer exists. She devoted minimal time to attending board meetings.

Employment History
Current Registrations
UBS Financial Services INC.Broker
September 2022 - Present · 4 yrs 1 mo
UBS Financial Services INC.
September 2022 - Present · 4 yrs 1 mo
Previous Registrations
Morgan Stanley
November 2011 - October 2022 · 10 yrs 11 mos
Morgan StanleyBroker
November 2011 - October 2022 · 10 yrs 11 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
June 1998 - November 2011 · 13 yrs 5 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
May 1998 - November 2011 · 13 yrs 6 mos
First Albany CorporationBroker
April 1991 - May 1998 · 7 yrs 1 mo
Jesup, Josephthal Securities CO., INC.Broker
January 1990 - May 1991 · 1 yr 4 mos
Hanifen, Imhoff Securities CORP.Broker
January 1990 - January 1990 · 0 mos
Moore & Schley, Cameron & CO.Broker
August 1987 - January 1990 · 2 yrs 5 mos
Mclaughlin, Piven, Vogel INC.Broker
October 1985 - August 1987 · 1 yr 10 mos
Derand Investment Corporation of AmericaBroker
July 1984 - June 1985 · 11 mos
State Registrations31 states
AZCACOCTDCDEFLGAILINLAMAMDMEMIMTNCNDNHNJNMNVNYOHORPASCTXVAVTWA
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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