Richard Rohr
Richard Rohr is a registered investment advisor at UBS Financial Services INC., based in Breckenridge, CO, with 39 years of industry experience. Richard 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
Firm Size
IM Fee
Assets Under Management
Fee Structure
- 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.
Location
Breckenridge, CO
Get directionsHistory
Regulatory History (2)
Customer Dispute
August 2002Customer Dispute
May 2002Other Business Activities
Richard assists his fellow trustees in overseeing the Clementine Lockwood Peterson Foundation's investment portfolio, which supports the Greenwich Library. The investment management advice is provided by Stifel Wealth Management Group.
Employment History
Current Registrations
UBS Financial Services INC.
UBS Financial Services INC.
UBS Financial Services INC.Broker
Previous Registrations
Morgan Stanley & CO., Incorporated
Morgan Stanley & CO., IncorporatedBroker
Morgan Stanley
Morgan Stanley Dw INC.Broker
State Registrations31 states
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
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