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Dennis Falkowski

36 Years of Experience
Solvang, CA
1 DisclosureBroker

Dennis Falkowski is a registered investment advisor at UBS Financial Services INC., based in Solvang, CA, with 36 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

Solvang, CA

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History

Regulatory History (1)
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
December 2003
Settled
Other Business Activities

Dennis is associated with the Falkowski Family Trust DTD 07/13/2010. The activity started in 2010 and is currently active.

Employment History
Current Registrations
UBS Financial Services INC.
December 2008 - Present · 17 yrs 5 mos
UBS Financial Services INC.
December 2008 - Present · 17 yrs 5 mos
UBS Financial Services INC.Broker
December 2008 - Present · 17 yrs 5 mos
Previous Registrations
Morgan Stanley & CO. Incorporated
April 2007 - December 2008 · 1 yr 8 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - December 2008 · 1 yr 8 mos
Morgan Stanley
July 1997 - April 2007 · 9 yrs 9 mos
Morgan Stanley Dw INC.Broker
June 1989 - April 2007 · 17 yrs 10 mos
State Registrations42 states
AKALARAZCACOCTDCDEFLGAHIIDILINKSLAMAMDMEMIMNMOMSNCNDNENJNMNVNYOHOKORPASCTNTXUTVAWAWI
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.
Dennis Falkowski - Financial Advisor | TrueAdvisor