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Frederick Spagnola

38 Years of Experience
New York, NY
3 DisclosuresBroker

Frederick Spagnola is a registered investment advisor at UBS Financial Services INC., based in New York, NY, 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

299 Park Ave, 8th, 9th 11th FLOOR, New York, NY, 10171

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History

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
May 2004
Settled
Customer Dispute
December 2002
Settled
Customer Dispute
September 2002
Settled
Employment History
Current Registrations
UBS Financial Services INC.
April 2015 - Present · 11 yrs 1 mo
UBS Financial Services INC.
April 2015 - Present · 11 yrs 1 mo
UBS Financial Services INC.Broker
April 2015 - Present · 11 yrs 1 mo
Previous Registrations
Wells Fargo Advisors, LLC
May 2009 - April 2015 · 5 yrs 11 mos
Wells Fargo Advisors, LLCBroker
May 2009 - April 2015 · 5 yrs 11 mos
Citigroup Global Markets INC.
May 2007 - May 2009 · 2 yrs
Citigroup Global Markets INC.Broker
May 2007 - May 2009 · 2 yrs
Citicorp Investment Services
December 2004 - May 2007 · 2 yrs 5 mos
Citicorp Investment ServicesBroker
June 1992 - May 2007 · 14 yrs 11 mos
Citicorp Financial Services,inc.Broker
September 1990 - June 1992 · 1 yr 9 mos
Landmark Brokerage Services, INC.Broker
January 1990 - October 1990 · 9 mos
Integrated Resources Equity CorporationBroker
November 1987 - October 1989 · 1 yr 11 mos
State Registrations9 states
CAFLGAMIMONJNYPATX
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.
Frederick Spagnola - Financial Advisor | TrueAdvisor