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Lawrence Frankel

30 Years of Experience
New York, NY
Broker

Lawrence Frankel is a registered investment advisor at UBS Financial Services INC., based in New York, NY, with 30 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

1285 Avenue of the Americas, 15 Thru 18th Floors, New York, NY, 10019

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

Lawrence owns three rental properties in Maryland and New Jersey since 2016. He spends minimal time managing these properties, considering the income passive.

Employment History
Current Registrations
UBS Financial Services INC.Broker
March 2022 - Present · 4 yrs 2 mos
UBS Financial Services INC.
March 2022 - Present · 4 yrs 2 mos
Previous Registrations
Morgan Stanley
February 2016 - March 2022 · 6 yrs 1 mo
Morgan StanleyBroker
February 2016 - March 2022 · 6 yrs 1 mo
UBS Financial Services INC.Broker
January 2008 - February 2016 · 8 yrs 1 mo
UBS Financial Services INC.
January 2008 - February 2016 · 8 yrs 1 mo
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
July 2007 - September 2007 · 2 mos
Merrill Lynch Pierce Fenner & Smith INC.
July 2007 - September 2007 · 2 mos
Citigroup Global Markets INC.
December 2005 - June 2007 · 1 yr 6 mos
Citigroup Global Markets INC.Broker
December 2005 - June 2007 · 1 yr 6 mos
Ameriprise Financial Services, INC.
July 2002 - September 2005 · 3 yrs 2 mos
Ameriprise Financial Services, INC.Broker
May 2001 - September 2005 · 4 yrs 4 mos
Ids Life Insurance CompanyBroker
May 2001 - September 2005 · 4 yrs 4 mos
Princor Financial Services CorporationBroker
December 1998 - May 2001 · 2 yrs 5 mos
New England SecuritiesBroker
February 1997 - July 1998 · 1 yr 5 mos
Josephthal Lyon & Ross IncorporatedBroker
April 1996 - January 1997 · 9 mos
D. H. Blair & CO., INC.Broker
July 1994 - April 1996 · 1 yr 9 mos
Northeast Investment Securities CORP.Broker
September 1993 - December 1993 · 3 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
AdvisorBrokerBoth

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Exams
No exam information available for this advisor.
Lawrence Frankel - Financial Advisor | TrueAdvisor