WC
WC

William Cerf

29 Years of Experience
New York, NY
4 DisclosuresBroker

William Cerf is a registered investment advisor at UBS Financial Services INC., based in New York, NY, with 29 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

299 Park Ave, 26th Floor, New York, NY, 10171

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History

Regulatory History (4)
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
December 2022
Settled
Customer Dispute
June 2020
Award / Judgment
Customer Dispute
February 2020
Award / Judgment
Customer Dispute
September 2019
Award / Judgment
Other Business Activities

William is a sole proprietor for occasional personal investments through OCJ Capital. He also serves as director at Montclair State University's School of Business, adjunct professor at Montclair State University, and advisory board member for Cornell University's Outdoor Education Program, dedicating a few hours per week to these activities.

Employment History
Current Registrations
UBS Financial Services INC.
July 2015 - Present · 10 yrs 10 mos
UBS Financial Services INC.Broker
July 2015 - Present · 10 yrs 10 mos
Previous Registrations
Barclays Capital INC.
January 2009 - July 2015 · 6 yrs 6 mos
Barclays Capital INC.Broker
September 2008 - July 2015 · 6 yrs 10 mos
Lehman Brothers INC.
March 2008 - October 2008 · 7 mos
Lehman Brothers INC.Broker
January 2008 - September 2008 · 8 mos
J.P. Morgan Securities INC.Broker
July 2006 - October 2007 · 1 yr 3 mos
Bear, Stearns & CO. INC.Broker
June 2001 - December 2003 · 2 yrs 6 mos
J.P. Morgan Securities INC.Broker
January 1993 - November 2000 · 7 yrs 10 mos
State Registrations36 states
ALAZCACOCTDCDEFLGAIAIDILMAMDMENCNDNHNJNMNVNYOHOKORPARISCTNTXUTVAVTWAWIWY
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.