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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. 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

299 Park Avenue, 8th, 9th, & 11th Floors, New York, NY, 10171

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History

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 2019
Denied
Customer Dispute
July 2003
Denied
Customer Dispute
March 1995
Settled
Regulatory
April 1987
Final
Employment History
Current Registrations
UBS Financial Services INC.Broker
September 2008 - Present · 17 yrs 10 mos
UBS Financial Services INC.
September 2008 - Present · 17 yrs 10 mos
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.