KW
KW

Kenneth Wise

39 Years of Experience
Sylvania, OH
2 DisclosuresBroker

Kenneth Wise is a registered investment advisor at UBS Financial Services INC., based in Sylvania, OH, with 39 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Retirement Planning, and 1 more. Their firm serves 1,134,581 clients with $810B in assets under management.

Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9502 advisors
IM Fee
Planning only
Assets Under Management
$808.8B

Fee Structure

UBS Financial Services Inc. offers financial planning services for a fee, with costs ranging from $500 to $50,000, though most clients pay between $1,000 and $10,000. Fees exceeding $50,000 but not more than $100,000 may be permitted for complex situations involving relationships with a net worth of $100 million or more. The fees are negotiable and may vary based on the range of services selected, the scope of the engagement, the complexity of the services, the nature and amount of client assets involved, and the financial advisor's business model.

One-Time Plan:$500 - $50,000
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Location

5757 Monroe Street, Sylvania, OH, 43560

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History

Regulatory History (2)
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
August 2020
Settled
Customer Dispute
April 2020
Settled
Other Business Activities

Kenneth is a managing member of Wise Capital, a holding company that owns real estate and has an interest in a car restoration business. He also serves on the investment committee for Bonita Bay Community Association, dedicating minimal time to managing community affairs and finances.

Employment History
Current Registrations
UBS Financial Services INC.
December 2011 - Present · 14 yrs 7 mos
UBS Financial Services INC.
December 2011 - Present · 14 yrs 7 mos
UBS Financial Services INC.Broker
December 2011 - Present · 14 yrs 7 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
June 2003 - December 2011 · 8 yrs 6 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
June 2003 - December 2011 · 8 yrs 6 mos
Citigroup Global Markets INC.
November 1999 - June 2003 · 3 yrs 7 mos
Citigroup Global Markets INC.Broker
July 1993 - June 2003 · 9 yrs 11 mos
Lehman Brothers INC.Broker
March 1992 - July 1993 · 1 yr 4 mos
Kemper Securities Group, INC.Broker
September 1990 - April 1992 · 1 yr 7 mos
Prescott, Ball & Turben, INC.Broker
July 1986 - September 1990 · 4 yrs 2 mos
State Registrations42 states
ALARAZCACOCTDCDEFLGAIAIDILINKYLAMAMDMEMIMNMOMSMTNCNJNMNVNYOHOKORPARISCTNTXUTVAWAWIWV
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.
Kenneth Wise - Financial Advisor | TrueAdvisor