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Howard Abrams
35 Years of Experience
Sherman Oaks, CA
1 DisclosureBroker
Howard Abrams is a registered investment advisor at UBS Financial Services INC., based in Sherman Oaks, CA, with 35 years of industry experience. Howard 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
15260 Ventura Boulevard, Suite 1800, Sherman Oaks, CA, 91403
Get directionsHistory
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
May 2000Pending
Employment History
Current Registrations
UBS Financial Services INC.
March 2003 - Present · 23 yrs 7 mos
UBS Financial Services INC.Broker
March 2003 - Present · 23 yrs 7 mos
UBS Financial Services INC.
March 2003 - Present · 23 yrs 7 mos
Previous Registrations
Fahnestock Asset Management
January 2003 - March 2003 · 2 mos
Fahnestock & CO. INC.Broker
January 2003 - March 2003 · 2 mos
Cibc World Markets CORP.Broker
May 1999 - January 2003 · 3 yrs 8 mos
Cibc World Markets CORP.
August 1997 - January 2003 · 5 yrs 5 mos
Oppenheimer & CO., INC.Broker
August 1992 - April 1999 · 6 yrs 8 mos
Dean Witter Reynolds INC.Broker
September 1991 - August 1992 · 11 mos
State Registrations13 states
AZCAFLHIINMTNCNVNYPATNTXUT
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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