RN
RN
Richard Nelson
33 Years of Experience
Seattle, WA
1 DisclosureBroker
Richard Nelson is a registered investment advisor at UBS Financial Services INC., based in Seattle, WA, with 33 years of industry experience. Richard 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
925 Fourth Avenue, 31st & 32nd Floor, Seattle, WA, 98104
Get directionsHistory
Regulatory History (1)
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
May 2013Settled
Employment History
Current Registrations
UBS Financial Services INC.
August 2011 - Present · 15 yrs 2 mos
UBS Financial Services INC.
August 2011 - Present · 15 yrs 2 mos
UBS Financial Services INC.Broker
August 2011 - Present · 15 yrs 2 mos
Previous Registrations
Wells Fargo Advisors, LLCBroker
February 2011 - August 2011 · 6 mos
Wells Fargo Advisors, LLC
February 2011 - August 2011 · 6 mos
UBS Financial Services INC.
February 2007 - February 2011 · 4 yrs
UBS Financial Services INC.Broker
February 2007 - February 2011 · 4 yrs
Mcdonald Investments INC.
May 1999 - February 2007 · 7 yrs 9 mos
Mcdonald Investments INC.Broker
May 1999 - February 2007 · 7 yrs 9 mos
Key Investments INC.Broker
December 1996 - May 1999 · 2 yrs 5 mos
Piper Jaffray INC.Broker
September 1995 - December 1996 · 1 yr 3 mos
Smith Barney INC.Broker
August 1993 - October 1995 · 2 yrs 2 mos
State Registrations12 states
AKAZCACOFLIDMINYORSCTXWA
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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