Shelley Waters
Shelley Waters is a registered investment advisor at UBS Financial Services INC., based in The Woodlands, TX, with 32 years of industry experience. Shelley 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
Firm Size
IM Fee
Assets Under Management
Fee Structure
- 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.
Location
1780 Hughes Landing Blvd., Suite 200, The Woodlands, TX, 77380-1687
Get directionsHistory
Regulatory History (1)
Customer Dispute
June 2000Other Business Activities
Shelley is a non-compensated Vice President and mentor to her son, who is the President of IAS Perfromance LLC, an automotive business involved in auto purchase, sale, and repair. Shelley dedicates minimal time to this role.
Employment History
Current Registrations
UBS Financial Services INC.
UBS Financial Services INC.
UBS Financial Services INC.Broker
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
First Investors CorporationBroker
State Registrations26 states
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
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