CS
CS

Christopher Scroggins

32 Years of Experience
Walnut Creek, CA
5 DisclosuresBroker

Christopher Scroggins is a registered investment advisor at UBS Financial Services INC., based in Walnut Creek, CA, with 32 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
Loading...

Location

1255 Treat Blvd, Suite 1000, Walnut Creek, CA, 94597

Get directions

History

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
August 2008
Settled
Customer Dispute
February 2007
Settled
Customer Dispute
June 2000
Denied
Customer Dispute
July 1998
Closed-No Action
Criminal
January 1987
Final Disposition
Employment History
Current Registrations
UBS Financial Services INC.
August 2006 - Present · 19 yrs 11 mos
UBS Financial Services INC.Broker
August 2006 - Present · 19 yrs 11 mos
Previous Registrations
Piper Jaffray & CO.
September 1997 - August 2006 · 8 yrs 11 mos
Piper Jaffray & CO.Broker
April 1993 - August 2006 · 13 yrs 4 mos
State Registrations27 states
CACOCTDEFLGAILINKSMAMDMIMNMONCNJNVNYOHORPASCTNTXVAWAWI
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.