JD
JD

Joseph Depaula

36 Years of Experience
Houston, TX
3 DisclosuresBroker

Joseph Depaula is a registered investment advisor at UBS Financial Services INC., based in Houston, TX, with 36 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 (3)
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Customer Dispute
March 2022
Settled
Customer Dispute
November 2010
Settled
Customer Dispute
January 2009
Settled
Employment History
Current Registrations
UBS Financial Services INC.
October 1999 - Present · 26 yrs 7 mos
UBS Financial Services INC.
October 1999 - Present · 26 yrs 7 mos
UBS Financial Services INC.Broker
October 1999 - Present · 26 yrs 7 mos
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 Registrations25 states
ARAZCACODEFLILINKSLAMAMDMINCNJNVOHOKPATNTXUTVAVTWA
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.