WJ
WJ
William Jones
35 Years of Experience
Cincinnati, OH
2 DisclosuresBroker
William Jones is a registered investment advisor at UBS Financial Services INC., based in Cincinnati, OH, with 35 years of industry experience. William 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
8044 MONTGOMERY ROAD, Ste. 10, The Towers at Kenwood, Cincinnati, OH, 45236
Get directionsHistory
Regulatory History (2)
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
January 2003Denied
Customer Dispute
March 2002Denied
Employment History
Current Registrations
UBS Financial Services INC.
March 2009 - Present · 17 yrs 7 mos
UBS Financial Services INC.Broker
February 2009 - Present · 17 yrs 8 mos
Previous Registrations
Citigroup Global Markets INC.
December 1999 - March 2009 · 9 yrs 3 mos
Citigroup Global Markets INC.Broker
July 1993 - March 2009 · 15 yrs 8 mos
Lehman Brothers INC.Broker
September 1991 - July 1993 · 1 yr 10 mos
State Registrations40 states
ALARAZCACOCTDCDEFLGAHIILINKSKYLAMAMIMOMSMTNCNJNMNVNYOHOKORPARISCSDTNTXUTVAWAWIWY
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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