TK
TK

Tricia Kramer

33 Years of Experience
Walnut Creek, CA
1 DisclosureBroker

Tricia Kramer is a registered investment advisor at UBS Financial Services INC., based in Walnut Creek, CA, with 33 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

1255 Treat Blvd, Suite 1000, Walnut Creek, CA, 94596

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History

Regulatory History (1)
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Criminal
July 1991
Final Disposition
Employment History
Current Registrations
UBS Financial Services INC.
November 2014 - Present · 11 yrs 6 mos
UBS Financial Services INC.
November 2014 - Present · 11 yrs 6 mos
UBS Financial Services INC.Broker
November 2014 - Present · 11 yrs 6 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
November 2002 - November 2014 · 12 yrs
Merrill Lynch, Pierce, Fenner & Smith Incorporated
May 2002 - November 2014 · 12 yrs 6 mos
Deutsche Banc Alex. Brown INC.Broker
January 2001 - October 2001 · 9 mos
Db Alex. Brown LLCBroker
September 1997 - January 2001 · 3 yrs 4 mos
Alex. Brown & Sons IncorporatedBroker
July 1994 - September 1997 · 3 yrs 2 mos
Cs First Boston CorporationBroker
January 1993 - July 1994 · 1 yr 6 mos
Smith Barney, Harris Upham & CO., IncorporatedBroker
December 1991 - January 1993 · 1 yr 1 mo
State Registrations22 states
AKARAZCACTDEFLHIMAMDMIMTNCNJNVNYOHORSDTNTXWA
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.
Tricia Kramer - Financial Advisor | TrueAdvisor