John O'leary
John O'leary is a registered investment advisor at UBS Financial Services INC., based in New York City, NY, 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
Firm Size
IM Fee
Assets Under Management
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.
Location
1285 Avenue of the Americas, 15th, 16th, 17th & 18th, New York City, NY, 10019
Get directionsHistory
Regulatory History (5)
Customer Dispute
February 2023Customer Dispute
January 2013Customer Dispute
June 2003Customer Dispute
August 2000Customer Dispute
October 1998Other Business Activities
John is a member of the Board of Directors for Saint Leo University, serving on the Business Affairs Committee since 2015.
Employment History
Current Registrations
UBS Financial Services INC.
UBS Financial Services INC.
UBS Financial Services INC.Broker
Previous Registrations
Wachovia Securities, LLC
Wachovia Securities, LLCBroker
Zachary Jackson Securities, LPBroker
Prudential Securities IncorporatedBroker
Smith Barney INC.Broker
Lehman Brothers INC.Broker
State Registrations36 states
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.