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John Mccabe

UBS Financial Services INC.
34 Years of Experience
Columbia, SC
3 DisclosuresBroker
View SEC Summary
View SEC Summary

John Mccabe is a registered investment advisor at UBS Financial Services INC., based in Columbia, SC, with 34 years of industry experience. John 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

1320 Main St, Suite 700, Columbia, SC, 29201

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History

Regulatory History (3)
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
July 2004
Closed-No Action
Customer Dispute
October 2002
Denied
Customer Dispute
July 2002
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

John is a general partner in Continental Properties, LLC, which is not investment-related, and spends minimal time on it. He also serves as a board member or officer for several non-profit organizations, including the River Alliance, the South Carolina Governor's Mansion Foundation, the South Carolina Historical Society, and the South Carolina State Museum Commission.

Employment History
Current Registrations
UBS Financial Services INC.
September 2023 - Present · 3 yrs 1 mo
UBS Financial Services INC.Broker
September 2023 - Present · 3 yrs 1 mo
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
August 1995 - September 2023 · 28 yrs 1 mo
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
July 1993 - September 2023 · 30 yrs 2 mos
Ameritas Investment CORP.Broker
March 1992 - January 1993 · 10 mos
Nml Equity Services, INC.Broker
January 1990 - May 1990 · 4 mos
State Registrations38 states
ALAZCACOCTDCDEFLGAIAILKSKYLAMAMDMEMIMNMONCNHNJNMNVNYOHPAPRSCTNTXVAVTWAWIWVWY
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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