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Neelam Seth
36 Years of Experience
Chicago, IL
1 DisclosureBroker
Neelam Seth is a registered investment advisor at UBS Financial Services INC., based in Chicago, IL, with 36 years of industry experience. Neelam 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
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Location
One North Wacker Drive, Ste 3300, Chicago, IL, 60606
Get directionsHistory
Regulatory History (1)
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Criminal
September 1989Final Disposition
Employment History
Current Registrations
UBS Financial Services INC.
March 2012 - Present · 14 yrs 7 mos
UBS Financial Services INC.Broker
January 2010 - Present · 16 yrs 9 mos
Previous Registrations
UBS International INC.Broker
July 2008 - January 2010 · 1 yr 6 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
May 1990 - May 2008 · 18 yrs
State Registrations51 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPARISCSDTNTXUTVAVTVirgin IslandsWAWIWY
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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