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John Polanshek

UBS Financial Services INC.
41 Years of Experience
South Burlington, VT
3 DisclosuresBroker
View SEC Summary
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John Polanshek is a registered investment advisor at UBS Financial Services INC., based in South Burlington, VT, with 41 years of industry experience. John 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

38 Eastwood Drive, Suite 400, South Burlington, VT, 05403

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History

Regulatory History (3)
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
February 2009
Denied
Customer Dispute
May 2000
Closed-No Action
Customer Dispute
August 1991
Award / Judgment
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
UBS Financial Services INC.
December 2008 - Present · 17 yrs 10 mos
UBS Financial Services INC.
December 2008 - Present · 17 yrs 10 mos
UBS Financial Services INC.Broker
December 2008 - Present · 17 yrs 10 mos
Previous Registrations
Wachovia Securities, LLC
April 2003 - December 2008 · 5 yrs 8 mos
Wachovia Securities, LLCBroker
April 2003 - January 2009 · 5 yrs 9 mos
Merrill Lynch Pierce Fenner & Smith INC.
January 1985 - May 2003 · 18 yrs 4 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
December 1984 - May 2003 · 18 yrs 5 mos
State Registrations30 states
AKAZCACOCTFLGAILINMAMDMEMIMNMTNCNHNJNMNVNYOHPARISCTNTXVAVTWV
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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