KT
KT
Kelley Tatreau
40 Years of Experience
Omaha, NE
3 DisclosuresBroker
Kelley Tatreau is a registered investment advisor at UBS Financial Services INC., based in Omaha, NE, with 40 years of industry experience. Kelley 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
13815 FNB Parkway Suite 300, Omaha, NE, 68154-5220
Get directionsHistory
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
July 2006Settled
Customer Dispute
January 2003Settled
Customer Dispute
November 2002Denied
Employment History
Current Registrations
UBS Financial Services INC.
August 2006 - Present · 20 yrs 2 mos
UBS Financial Services INC.Broker
August 2006 - Present · 20 yrs 2 mos
Previous Registrations
Piper Jaffray & CO.
April 2000 - August 2006 · 6 yrs 4 mos
Piper Jaffray & CO.Broker
February 2000 - August 2006 · 6 yrs 6 mos
U.S. Bancorp Investments, INC.Broker
February 1996 - September 2001 · 5 yrs 7 mos
Firstier Securities, INC.Broker
June 1991 - March 1996 · 4 yrs 9 mos
Invest Financial CorporationBroker
March 1986 - June 1991 · 5 yrs 3 mos
State Registrations28 states
ARAZCACOFLHIIAILINKSMAMDMNMOMSNCNENYOHOKORSCSDTXVAVTWAWI
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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