RD
RD

Roberto Dejesuspou

38 Years of Experience
San Juan, PR
11 DisclosuresBroker

Roberto Dejesuspou is a registered investment advisor at UBS Financial Services INC., based in San Juan, PR, 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
Loading...

Location

250 Munoz Rivera Avenue, San Juan, PR, 00918

Get directions

History

Regulatory History (11)
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
November 2024
Pending
Customer Dispute
February 2020
Settled
Customer Dispute
January 2020
Settled
Customer Dispute
August 2019
Settled
Customer Dispute
December 2018
Settled
Customer Dispute
November 2018
Settled
Customer Dispute
June 2005
Denied
Customer Dispute
July 2004
Settled
Customer Dispute
June 1999
Denied
Customer Dispute
January 1995
Settled
Customer Dispute
July 1993
Settled
Other Business Activities

Roberto is the manager of SDJ Investments LLC, a personal holding company owned by his sister, since 2020. He is responsible for making investment decisions and managing the assets of the LLC.

Employment History
Current Registrations
UBS Financial Services INC.
December 2019 - Present · 6 yrs 5 mos
UBS Financial Services INC.
January 2003 - Present · 23 yrs 4 mos
UBS Financial Services INC.Broker
January 2003 - Present · 23 yrs 4 mos
Previous Registrations
UBS Financial Services Incorporated of Puerto RicoBroker
January 2003 - August 2021 · 18 yrs 7 mos
Salomon Smith Barney INC.Broker
July 1993 - January 2003 · 9 yrs 6 mos
Lehman Brothers INC.Broker
February 1988 - July 1993 · 5 yrs 5 mos
E. F. Hutton & Company INCBroker
November 1987 - February 1988 · 3 mos
State Registrations16 states
CACODCFLGAILINMAMNNCNYOHPRSCTXVA
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.