CP
CP
Craig Pontlitz
33 Years of Experience
Sarasota, FL
2 DisclosuresBroker
Craig Pontlitz is a registered investment advisor at UBS Financial Services INC., based in Sarasota, FL, with 33 years of industry experience. Craig 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
1819 Main Street, Suite 900, Sarasota, FL, 34236
Get directionsHistory
Regulatory History (2)
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Customer Dispute
February 2011Settled
Customer Dispute
October 2006Denied
Employment History
Current Registrations
UBS Financial Services INC.
December 2008 - Present · 17 yrs 10 mos
UBS Financial Services INC.
December 2008 - Present · 17 yrs 10 mos
UBS Financial Services INC.Broker
December 2008 - Present · 17 yrs 10 mos
Previous Registrations
Morgan Stanley & CO. Incorporated
April 2007 - December 2008 · 1 yr 8 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - December 2008 · 1 yr 8 mos
Morgan Stanley
January 1994 - April 2007 · 13 yrs 3 mos
Morgan Stanley Dw INC.Broker
September 1993 - April 2007 · 13 yrs 7 mos
State Registrations28 states
ALAZCACOCTDEFLILINKYMAMDMIMSNCNHNJNYOHORPARISCTNTXVAWAWI
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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