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Robert Stringer

38 Years of Experience
Los Angeles, CA
1 DisclosureBroker

Robert Stringer is a registered investment advisor at UBS Financial Services INC., based in Los Angeles, CA, with 38 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

2000 Avenue of the Stars, 12th Floor, Los Angeles, CA, 90067

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History

Regulatory History (1)
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Customer Dispute
October 2004
Settled
Other Business Activities

Robert is involved in private security investment related to computer hardware. He is also involved with Stringbean Entertainment since 2013.

Employment History
Current Registrations
UBS Financial Services INC.
October 2015 - Present · 10 yrs 7 mos
UBS Financial Services INC.
October 2015 - Present · 10 yrs 7 mos
UBS Financial Services INC.Broker
October 2015 - Present · 10 yrs 7 mos
Previous Registrations
Morgan Stanley
June 2009 - October 2015 · 6 yrs 4 mos
Morgan StanleyBroker
June 2009 - October 2015 · 6 yrs 4 mos
Morgan Stanley & CO. Incorporated
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley Dw INC.Broker
March 2007 - April 2007 · 1 mo
Morgan Stanley
March 2007 - April 2007 · 1 mo
Fahnestock Asset Management
January 2003 - March 2007 · 4 yrs 2 mos
Oppenheimer & CO. INC.Broker
January 2003 - March 2007 · 4 yrs 2 mos
Cibc World Markets CORP.
July 1997 - January 2003 · 5 yrs 6 mos
Cibc World Markets CORP.Broker
January 1996 - January 2003 · 7 yrs
Painewebber IncorporatedBroker
July 1991 - December 1995 · 4 yrs 5 mos
Smith Barney, Harris Upham & CO., IncorporatedBroker
April 1987 - July 1991 · 4 yrs 3 mos
State Registrations31 states
AZCACOCTDCDEFLGAIDILLAMAMDMIMOMTNCNJNMNVNYOHORPASCTXUTVAWAWIWY
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.