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Bradley Ross

UBS Financial Services INC.
41 Years of Experience
Ft. Lauderdale, FL
7 DisclosuresBroker
View SEC Summary
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Bradley Ross is a registered investment advisor at UBS Financial Services INC., based in Ft. Lauderdale, FL, with 41 years of industry experience. Bradley 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

401 East Las Olas Boulevard, Las Olas Centre, Ft. Lauderdale, FL, 33301

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History

Regulatory History (7)
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
May 2016
Settled
Customer Dispute
May 2015
Denied
Customer Dispute
April 2015
Settled
Customer Dispute
February 2015
Settled
Customer Dispute
August 2014
Award / Judgment
Customer Dispute
October 1999
Settled
Customer Dispute
February 1999
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
UBS Financial Services INC.
November 2011 - Present · 14 yrs 11 mos
UBS Financial Services INC.Broker
November 2011 - Present · 14 yrs 11 mos
Previous Registrations
Raymond James & Associates, INC.
October 2009 - December 2011 · 2 yrs 2 mos
Raymond James & Associates, INC.Broker
April 2006 - December 2011 · 5 yrs 8 mos
Janney Montgomery Scott LLCBroker
April 1999 - May 2006 · 7 yrs 1 mo
Gruntal & CO., L.L.C.Broker
March 1997 - March 1999 · 2 yrs
Coburn & Meredith, INC.Broker
February 1995 - April 1997 · 2 yrs 2 mos
First Montauk Securities CORP.Broker
January 1995 - February 1995 · 1 mo
Meridian, Dunhill & CO., INC.Broker
October 1994 - February 1995 · 4 mos
Dunhill Equities, INC.Broker
September 1992 - October 1994 · 2 yrs 1 mo
Prudential Securities IncorporatedBroker
October 1990 - September 1992 · 1 yr 11 mos
Legg Mason Wood Walker, IncorporatedBroker
February 1989 - October 1990 · 1 yr 8 mos
Dean Witter Reynolds INC.Broker
January 1985 - February 1989 · 4 yrs 1 mo
State Registrations42 states
ALARAZCACOCTDCDEFLGAILINKSKYLAMAMDMEMIMNMSNCNHNJNMNVNYOHORPAPRRISCTNTXUTVAVTWAWIWVWY
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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