MA
MA
Michael Appelbaum
33 Years of Experience
Houston, TX
4 DisclosuresBroker
Michael Appelbaum is a registered investment advisor at UBS Financial Services INC., based in Houston, TX, with 33 years of industry experience. Michael 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
Loading...
Location
4400 Post Oak Parkway, 17th Floor, Houston, TX, 77027
Get directionsHistory
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
November 2001Closed-No Action
Customer Dispute
August 2001Closed-No Action
Customer Dispute
October 2000Closed-No Action
Criminal
May 1989Final Disposition
Employment History
Current Registrations
UBS Financial Services INC.
January 2009 - Present · 17 yrs 9 mos
UBS Financial Services INC.
January 2009 - Present · 17 yrs 9 mos
UBS Financial Services INC.Broker
January 2009 - Present · 17 yrs 9 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
August 1993 - February 2009 · 15 yrs 6 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
August 1993 - February 2009 · 15 yrs 6 mos
State Registrations36 states
ALAZCACODCFLGAHIIDINKYLAMAMDMEMIMNMONCNENHNJNMNVNYOHOKORPASCTNTXUTVAWAWI
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.
More Advisors
- John Landers, CFPUBS Financial Services INC.
- Joseph DepaulaUBS Financial Services INC.
- Gregory EknoyanUBS Financial Services INC.
- Michael WellinsUBS Financial Services INC.
- Paul KaterndahlUBS Financial Services INC.
- Christopher BlackUBS Financial Services INC.