CM
CM
Cary Moskowitz
41 Years of Experience
New York, NY
4 DisclosuresBroker
Cary Moskowitz is a registered investment advisor at UBS Financial Services INC., based in New York, NY, with 41 years of industry experience. Cary 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
299 Park Avenue, 8th, 9th, & 11th Floors, New York, NY, 10171
Get directionsHistory
Regulatory History (4)
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
October 2019Denied
Customer Dispute
July 2003Denied
Customer Dispute
March 1995Settled
Regulatory
April 1987Final
Employment History
Current Registrations
UBS Financial Services INC.Broker
September 2008 - Present · 18 yrs 1 mo
UBS Financial Services INC.
September 2008 - Present · 18 yrs 1 mo
Previous Registrations
Morgan Stanley & CO. IncorporatedBroker
April 2007 - September 2008 · 1 yr 5 mos
Morgan Stanley & CO. Incorporated
April 2007 - September 2008 · 1 yr 5 mos
Morgan Stanley
June 2006 - April 2007 · 10 mos
Morgan Stanley Dw INC.Broker
January 1990 - April 2007 · 17 yrs 3 mos
J F Lowe & Company IncorporatedBroker
January 1989 - January 1990 · 1 yr
Greentree Securities CORP.Broker
January 1988 - December 1988 · 11 mos
Brooks Weinger Robbins & Leeds INC.Broker
January 1985 - February 1988 · 3 yrs 1 mo
State Registrations29 states
AKARAZCACOCTDCFLGAILMAMDMEMIMNNCNHNJNVNYOHORPARISCTXVAVTWA
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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