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John Schmitt

UBS Financial Services INC.
40 Years of Experience
Westfield, NJ
2 DisclosuresBroker
View SEC Summary
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John Schmitt is a registered investment advisor at UBS Financial Services INC., based in Westfield, NJ, with 40 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
9356 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

109 North Avenue, Westfield, NJ, 07090

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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
February 2010
Denied
Customer Dispute
February 2002
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
UBS Financial Services INC.
December 2011 - Present · 14 yrs 10 mos
UBS Financial Services INC.
December 2011 - Present · 14 yrs 10 mos
UBS Financial Services INC.Broker
December 2011 - Present · 14 yrs 10 mos
Previous Registrations
Wells Fargo Advisors, LLC
January 2008 - December 2011 · 3 yrs 11 mos
Wells Fargo Advisors, LLCBroker
January 2008 - December 2011 · 3 yrs 11 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
May 2007 - January 2008 · 8 mos
Merrill Lynch Pierce Fenner & Smith INC.
April 2003 - December 2005 · 2 yrs 8 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
February 1998 - January 2008 · 9 yrs 11 mos
Josephthal Lyon & Ross IncorporatedBroker
October 1991 - November 1996 · 5 yrs 1 mo
Josephthal & CO., INC.Broker
January 1990 - October 1991 · 1 yr 9 mos
Hanifen, Imhoff Securities CORP.Broker
January 1990 - January 1990 · 0 mos
Moore & Schley, Cameron & CO.Broker
August 1989 - January 1990 · 5 mos
J. T. Moran & CO., INC.Broker
November 1988 - January 1990 · 1 yr 2 mos
Josephthal & CO., IncorporatedBroker
November 1984 - November 1988 · 4 yrs
State Registrations19 states
AZCACTDEFLGAILINMAMDMINCNHNJNYPASCTXVA
AdvisorBrokerBoth

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Exams
No exam information available for this advisor.
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