Allen Carter
Allen Carter is a registered investment advisor at UBS Financial Services INC., based in Chicago, IL, 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
Firm Size
IM Fee
Assets Under Management
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.
Location
1 North Wacker Drive, 32nd & 33rd, Chicago, IL, 60606
Get directionsHistory
Regulatory History (2)
Customer Dispute
September 2022Customer Dispute
June 2001Other Business Activities
Allen is involved in several outside business activities, including advising Checkgear, serving as an officer for the Society of Colonial Wars, and being a board member for the Swiss American Business Council, ClientPledge, and the University Club of Chicago. He also serves on the advisory boards for St. Joseph Services Charity and St. Vincent de Paul Center Charity, and is involved in a podcast called Chicago's Extras.
Employment History
Current Registrations
UBS Financial Services INC.
UBS Financial Services INC.Broker
Previous Registrations
Prudential Securities IncorporatedBroker
Thomson Mckinnon Securities INC.Broker
State Registrations33 states
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.