TrueAdvisor
TrueAdvisor
AN
AN

Alfred Novoth

UBS Financial Services INC.
40 Years of Experience
Boca Raton, FL
1 DisclosureBroker
View SEC Summary
View SEC Summary

Alfred Novoth is a registered investment advisor at UBS Financial Services INC., based in Boca Raton, FL, with 40 years of industry experience. Alfred 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

1800 North Military Trail, Suite 300, Boca Raton, FL, 33431

Get directions

History

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
June 2000
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Alfred serves as one of nine board of governors and the chairman of the Grounds and Greens Committee for the Royal Palm Yacht & Country Club. This takes a few hours per week.

Employment History
Current Registrations
UBS Financial Services INC.
May 2007 - Present · 19 yrs 5 mos
UBS Financial Services INC.
May 2007 - Present · 19 yrs 5 mos
UBS Financial Services INC.Broker
May 2007 - Present · 19 yrs 5 mos
Previous Registrations
Citigroup Global Markets INC.
January 2002 - May 2007 · 5 yrs 4 mos
Citigroup Global Markets INC.Broker
January 2002 - May 2007 · 5 yrs 4 mos
Morgan Stanley Dw INC.Broker
March 1992 - January 2002 · 9 yrs 10 mos
Midamerica Management CorporationBroker
May 1991 - December 1991 · 7 mos
Dean Witter Reynolds INC.Broker
November 1989 - April 1991 · 1 yr 5 mos
Shearson Lehman Hutton INC.Broker
May 1988 - December 1989 · 1 yr 7 mos
A. G. Edwards & Sons, INC.Broker
October 1985 - January 1988 · 2 yrs 3 mos
Asset Management Securities CorporationBroker
July 1985 - January 1986 · 6 mos
State Registrations17 states
AZCACTFLILLAMAMINCNJNYOHPARISCTXVA
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.
More Advisors
More financial advisors in Boca Raton, FL →All financial advisors in Florida →