SP
SP

Susan Patchen

35 Years of Experience
Rocky River, OH
Broker

Susan Patchen is a registered investment advisor at UBS Financial Services INC., based in Rocky River, OH, with 35 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
Loading...

Location

18500 Lake Road, Suite 400, Rocky River, OH, 44116

Get directions

History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

Learn about disclosures →
Employment History
Current Registrations
UBS Financial Services INC.Broker
May 2022 - Present · 4 yrs 2 mos
UBS Financial Services INC.
May 2022 - Present · 4 yrs 2 mos
Previous Registrations
Raymond James Financial Services Advisors, INC
November 2021 - March 2022 · 4 mos
Raymond James Financial Services, INC.Broker
November 2021 - March 2022 · 4 mos
UBS Financial Services INC.
April 2019 - December 2021 · 2 yrs 8 mos
UBS Financial Services INC.Broker
January 2019 - December 2021 · 2 yrs 11 mos
Raymond James Financial Services, INC.Broker
October 2016 - December 2018 · 2 yrs 2 mos
LPL Financial LLCBroker
December 2008 - November 2016 · 7 yrs 11 mos
Wachovia Securities, LLC
June 2003 - December 2008 · 5 yrs 6 mos
Wachovia Securities, LLCBroker
January 1994 - December 2008 · 14 yrs 11 mos
Smith Barney Shearson INC.Broker
July 1993 - January 1994 · 6 mos
Lehman Brothers INC.Broker
March 1991 - July 1993 · 2 yrs 4 mos
Kemper Securities Group, INC.Broker
September 1990 - November 1990 · 2 mos
Prescott, Ball & Turben, INC.Broker
May 1990 - September 1990 · 4 mos
State Registrations3 states
FLNJOH
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.
Susan Patchen - Financial Advisor | TrueAdvisor