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Carl Ceder

UBS Financial Services INC.
40 Years of Experience
Sherman Oaks, CA
3 DisclosuresBroker
View SEC Summary
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Carl Ceder is a registered investment advisor at UBS Financial Services INC., based in Sherman Oaks, CA, with 40 years of industry experience. Carl 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

15260 Ventura Boulevard, Suite 1800, Sherman Oaks, CA, 91403

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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
March 2019
Denied
Customer Dispute
March 2011
Settled
Customer Dispute
April 2009
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
UBS Financial Services INC.Broker
September 2022 - Present · 4 yrs 1 mo
UBS Financial Services INC.
September 2022 - Present · 4 yrs 1 mo
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
August 2002 - September 2022 · 20 yrs 1 mo
Merrill Lynch, Pierce, Fenner & Smith Incorporated
August 2002 - September 2022 · 20 yrs 1 mo
Neuberger Berman, LLC
July 1999 - August 2002 · 3 yrs 1 mo
Neuberger Berman, LLCBroker
March 1999 - August 2002 · 3 yrs 5 mos
Ba Investment Services, INC.Broker
May 1992 - June 1999 · 7 yrs 1 mo
Gna Securities, INC.Broker
November 1990 - June 1992 · 1 yr 7 mos
American Express Financial Advisors INC.Broker
April 1986 - November 1990 · 4 yrs 7 mos
State Registrations18 states
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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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