FD
FD
Francis Dietrich
36 Years of Experience
Lincoln, NH
2 DisclosuresBroker
Francis Dietrich is a registered investment advisor at UBS Financial Services INC., based in Lincoln, NH, with 36 years of industry experience. Francis 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.
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
Loading...
Location
Lincoln, NH
Get directionsHistory
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
February 2016Denied
Regulatory
May 1989Final
Other Business Activities
Francis is a part-time teacher in Risk Management at Northeastern University since September 2023. This activity is not investment-related.
Employment History
Current Registrations
UBS Financial Services INC.
July 2013 - Present · 13 yrs 3 mos
UBS Financial Services INC.Broker
July 2013 - Present · 13 yrs 3 mos
UBS Financial Services INC.
July 2013 - Present · 13 yrs 3 mos
Previous Registrations
Morgan StanleyBroker
June 2009 - July 2013 · 4 yrs 1 mo
Morgan Stanley
June 2009 - July 2013 · 4 yrs 1 mo
Morgan Stanley & CO. IncorporatedBroker
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley & CO. Incorporated
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley
September 2006 - April 2007 · 7 mos
Morgan Stanley Dw INC.Broker
July 2000 - April 2007 · 6 yrs 9 mos
Salomon Smith Barney INC.Broker
March 1995 - August 2000 · 5 yrs 5 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
January 1991 - March 1995 · 4 yrs 2 mos
Alison, Baer Securities INC.Broker
April 1989 - June 1989 · 2 mos
Profile Investments CorporationBroker
November 1988 - April 1989 · 5 mos
American Express Financial Advisors INC.Broker
October 1988 - November 1988 · 1 mo
Ids Life Insurance CompanyBroker
October 1988 - November 1988 · 1 mo
State Registrations22 states
AZCACOCTDCDEFLILMAMEMINCNHNJNYOHRISCTXVAVTWA
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.