RN
RN

Richard Nelson

32 Years of Experience
Seattle, WA
1 DisclosureBroker

Richard Nelson is a registered investment advisor at UBS Financial Services INC., based in Seattle, WA, 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
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Location

925 Fourth Avenue, 31st & 32nd Floor, Seattle, WA, 98104

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History

Regulatory History (1)
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Customer Dispute
May 2013
Settled
Employment History
Current Registrations
UBS Financial Services INC.
August 2011 - Present · 14 yrs 9 mos
UBS Financial Services INC.
August 2011 - Present · 14 yrs 9 mos
UBS Financial Services INC.Broker
August 2011 - Present · 14 yrs 9 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.