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Neil Konigsberg

UBS Financial Services INC.
38 Years of Experience
San Francisco, CA
2 DisclosuresBroker
View SEC Summary
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Neil Konigsberg is a registered investment advisor at UBS Financial Services INC., based in San Francisco, CA, with 38 years of industry experience. Neil 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.

UBS Financial Services INC.
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
View Full SEC Brochure

Location

555 California Street, 32nd Floor/ Suite 3200, San Francisco, CA, 94104

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History

Regulatory History (2)
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
January 2019
Settled
Customer Dispute
September 2008
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Neil is a member of the board of directors and treasurer for the San Ramon Valley High School Boosters, organizing parent involvement in financial support for the athletic teams. This activity is not investment-related and the time commitment is not specified.

Employment History
Current Registrations
UBS Financial Services INC.
September 2008 - Present · 18 yrs 1 mo
UBS Financial Services INC.
September 2008 - Present · 18 yrs 1 mo
UBS Financial Services INC.Broker
September 2008 - Present · 18 yrs 1 mo
Previous Registrations
Lehman Brothers INC.Broker
February 2004 - September 2008 · 4 yrs 7 mos
Lehman Brothers INC.
February 2004 - September 2008 · 4 yrs 7 mos
Banc of America Investment Services, INC.
August 2003 - March 2004 · 7 mos
Banc of America Investment Services, INC.Broker
August 2003 - March 2004 · 7 mos
Banc of America Securities LLC
October 2002 - August 2003 · 10 mos
Banc of America Securities LLCBroker
August 1999 - August 2003 · 4 yrs
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
August 1997 - August 1999 · 2 yrs
The Boston GroupBroker
April 1995 - April 1997 · 2 yrs
A.S. Goldmen & CO., INC.Broker
October 1994 - April 1995 · 6 mos
Lehman Brothers INC.Broker
December 1987 - September 1994 · 6 yrs 9 mos
State Registrations13 states
AZCACOCTFLHINHNVNYOHSDTXWA
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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