RB
RB

Ray Burns

39 Years of Experience
Houston, TX
2 DisclosuresBroker

Ray Burns is a registered investment advisor at UBS Financial Services INC., based in Houston, TX, 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

750 Town and Country Blvd, Suite 400, Houston, TX, 77024

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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
July 2020
Settled
Customer Dispute
November 2009
Settled
Other Business Activities

Ray serves on the Houston Independent School District Investment Advisory Committee and as a trustee for the Southwestern Theological Seminary Foundation. These roles involve providing investment advice and portfolio review, requiring minimal time and are not compensated.

Employment History
Current Registrations
UBS Financial Services INC.Broker
May 2013 - Present · 13 yrs
UBS Financial Services INC.
May 2013 - Present · 13 yrs
Previous Registrations
Deutsche Bank Securities INC.
July 2004 - June 2013 · 8 yrs 11 mos
Deutsche Bank Securities INC.Broker
July 2004 - June 2013 · 8 yrs 11 mos
Salomon Brothers INC.Broker
June 1998 - September 1998 · 3 mos
Citigroup Global Markets INC.Broker
May 1994 - July 2004 · 10 yrs 2 mos
Citigroup Global Markets INC.
May 1994 - July 2004 · 10 yrs 2 mos
Kidder, Peabody & CO. IncorporatedBroker
June 1990 - May 1994 · 3 yrs 11 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
March 1987 - June 1990 · 3 yrs 3 mos
Pride Investment CompanyBroker
November 1986 - December 1986 · 1 mo
State Registrations7 states
CODEIDMIOKTXVA
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.
Ray Burns - Financial Advisor | TrueAdvisor