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Stephen Kincade
40 Years of Experience
New York, NY
1 DisclosureBroker
Stephen Kincade is a registered investment advisor at UBS Financial Services INC., based in New York, NY, with 40 years of industry experience. Stephen 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
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
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Location
1285 Avenue of the Americas, 38th Floor, New York, NY, 10019
Get directionsHistory
Regulatory History (1)
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
December 2011Denied
Other Business Activities
Stephen is an investor in OBXpress Car Wash, a carwash company.
Employment History
Current Registrations
UBS Financial Services INC.Broker
July 2021 - Present · 5 yrs 3 mos
UBS Financial Services INC.
July 2021 - Present · 5 yrs 3 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
January 2012 - July 2021 · 9 yrs 6 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
January 2012 - July 2021 · 9 yrs 6 mos
Barclays Capital INC.
February 2009 - January 2012 · 2 yrs 11 mos
Barclays Capital INC.Broker
January 2009 - January 2012 · 3 yrs
Lehman Brothers INC.Broker
July 1993 - June 2008 · 14 yrs 11 mos
Grigsby, Brandford & CO., INC.Broker
April 1990 - July 1993 · 3 yrs 3 mos
Goldman, Sachs & CO.Broker
January 1985 - January 1990 · 5 yrs
State Registrations19 states
ALAZCACOCTFLINMAMIMOMTNHNJNYOHPATXVAWA
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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