FH
FH
Frederick Hahn
33 Years of Experience
Stamford, CT
5 DisclosuresBroker
Frederick Hahn is a registered investment advisor at UBS Financial Services INC., based in Stamford, CT, with 33 years of industry experience. Frederick 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
600 Washington Blvd, 9th Floor, Stamford, CT, 06901
Get directionsHistory
Regulatory History (5)
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
October 2016Denied
Customer Dispute
July 2009Closed-No Action
Customer Dispute
July 2009Denied
Customer Dispute
May 2003Denied
Criminal
May 1988Final Disposition
Employment History
Current Registrations
UBS Financial Services INC.
November 2008 - Present · 17 yrs 11 mos
UBS Financial Services INC.
November 2008 - Present · 17 yrs 11 mos
UBS Financial Services INC.Broker
November 2008 - Present · 17 yrs 11 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
April 1999 - November 2008 · 9 yrs 7 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
April 1999 - November 2008 · 9 yrs 7 mos
Salomon Smith Barney INC.Broker
September 1995 - April 1999 · 3 yrs 7 mos
Prudential Securities IncorporatedBroker
June 1993 - September 1995 · 2 yrs 3 mos
L.C. Wegard & CO., INC.Broker
October 1992 - January 1993 · 3 mos
State Registrations30 states
ALAZCACOCTDCDEFLGAILINMAMDMEMINCNHNJNVNYOHORPARISCTNTXVAVTWA
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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