JF
CFP
JF
CFP
Joshua Frankel
34 Years of Experience
Jericho, NY
1 DisclosureBroker
Joshua Frankel is a CFP-designated registered investment advisor at UBS Financial Services INC., based in Jericho, NY, with 34 years of industry experience. Joshua 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 Jericho Plaza, Suite 205, Jericho, NY, 11753-1635
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
July 2012Denied
Employment History
Current Registrations
UBS Financial Services INC.
June 2009 - Present · 17 yrs 4 mos
UBS Financial Services INC.Broker
October 2008 - Present · 18 yrs
Previous Registrations
Citigroup Global Markets INC.Broker
August 2003 - October 2008 · 5 yrs 2 mos
Morgan Stanley Dw INC.Broker
June 1994 - August 2003 · 9 yrs 2 mos
Hanover, Sterling & Company LTD.Broker
August 1992 - June 1994 · 1 yr 10 mos
State Registrations29 states
ARAZCACOCTDCDEFLGAIDILLAMAMDMINCNHNJNMNYOHPARISCTXVAVTWAWI
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.
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