JD
JD
Joseph Depaula
37 Years of Experience
Houston, TX
3 DisclosuresBroker
Joseph Depaula is a registered investment advisor at UBS Financial Services INC., based in Houston, TX, with 37 years of industry experience. Joseph 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
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9366 advisors
IM Fee
Planning only
Assets Under Management
$915.8B
Fee Structure
Investment management only (planning not offered)
- 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.
One-Time Plan:$500 - $50,000
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Location
750 Town and Country Blvd, Suite 400, Houston, TX, 77024
Get directionsHistory
Regulatory History (3)
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
March 2022Settled
Customer Dispute
November 2010Settled
Customer Dispute
January 2009Settled
Employment History
Current Registrations
UBS Financial Services INC.
October 1999 - Present · 27 yrs
UBS Financial Services INC.
October 1999 - Present · 27 yrs
UBS Financial Services INC.Broker
October 1999 - Present · 27 yrs
Previous Registrations
Comerica SecuritiesBroker
January 1995 - November 1999 · 4 yrs 10 mos
Fimco Securities Group, INC.Broker
August 1994 - December 1995 · 1 yr 4 mos
Comerica Financial Services, INC.Broker
August 1994 - January 1995 · 5 mos
Independence One Brokerage Services, INC.Broker
August 1992 - August 1994 · 2 yrs
Texas Commerce Equities, INC.Broker
April 1990 - August 1992 · 2 yrs 4 mos
First American National Securities, INC.Broker
July 1987 - July 1988 · 1 yr
State Registrations26 states
ARAZCACODEFLGAILINKSLAMAMDMINCNJNVOHOKPATNTXUTVAVTWA
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.
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