JB
CFA
JB
CFA

Jay Baumgardner

32 Years of Experience
Newport Beach, CA
Broker

Jay Baumgardner is a CFA-designated registered investment advisor at UBS Financial Services INC., based in Newport Beach, CA, with 32 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

888 San Clemente Drive, Suite 300, Newport Beach, CA, 92660

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Employment History
Current Registrations
UBS Financial Services INC.Broker
September 2016 - Present · 9 yrs 8 mos
UBS Financial Services INC.
September 2016 - Present · 9 yrs 8 mos
Previous Registrations
J.P. Morgan Securities LLC
January 2009 - September 2016 · 7 yrs 8 mos
J.P. Morgan Securities LLCBroker
January 2009 - September 2016 · 7 yrs 8 mos
Wachovia Securities, LLC
April 2008 - January 2009 · 9 mos
Wachovia Securities, LLCBroker
April 2008 - January 2009 · 9 mos
Wells Fargo Investments, LLC
October 2004 - May 2005 · 7 mos
Wells Fargo Investments, LLCBroker
October 2004 - May 2005 · 7 mos
Ust Securities CORP.Broker
September 2003 - June 2004 · 9 mos
Ust Financial Services CORP.Broker
May 1999 - August 2001 · 2 yrs 3 mos
Invest Financial CorporationBroker
February 1997 - February 1999 · 2 yrs
Ameristar Capital Markets, INC.Broker
May 1995 - February 1997 · 1 yr 9 mos
Smith Barney INC.Broker
July 1993 - May 1995 · 1 yr 10 mos
Lehman Brothers INC.Broker
November 1991 - July 1993 · 1 yr 8 mos
Quest Capital Strategies, INC.Broker
September 1988 - October 1991 · 3 yrs 1 mo
State Registrations42 states
ALARAZCACOCTDEFLGAHIIAIDILINKYMAMDMEMIMNMSMTNCNHNJNMNVNYOHOKORPARISCSDTNTXUTVAVTWAWI
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.