CR
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Christopher Rice

34 Years of Experience
Charlotte, NC
5 DisclosuresBroker

Christopher Rice is a registered investment advisor at UBS Financial Services INC., based in Charlotte, NC, with 34 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

6100 Fairview Road, 9th Floor, Charlotte, NC, 28277

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History

Regulatory History (5)
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Customer Dispute
October 2014
Settled
Customer Dispute
April 2006
Settled
Customer Dispute
November 2004
Withdrawn
Customer Dispute
December 2001
Closed-No Action
Customer Dispute
November 2001
Closed-No Action
Employment History
Current Registrations
UBS Financial Services INC.
January 2011 - Present · 15 yrs 4 mos
UBS Financial Services INC.
January 2011 - Present · 15 yrs 4 mos
UBS Financial Services INC.Broker
January 2011 - Present · 15 yrs 4 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
October 2009 - February 2011 · 1 yr 4 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 2009 - February 2011 · 1 yr 4 mos
Banc of America Investment Services, INC.Broker
September 2004 - October 2009 · 5 yrs 1 mo
Banc of America Investment Services, INC.
September 2004 - October 2009 · 5 yrs 1 mo
Merrill Lynch Pierce Fenner & Smith INC.
January 1999 - September 2004 · 5 yrs 8 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
February 1996 - September 2004 · 8 yrs 7 mos
Smith Barney INC.Broker
July 1993 - February 1996 · 2 yrs 7 mos
Lehman Brothers INC.Broker
October 1991 - July 1993 · 1 yr 9 mos
State Registrations4 states
AZCOMONC
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.