KF
KF

Kenneth Flax

31 Years of Experience
Weehawken, NJ
1 DisclosureBroker

Kenneth Flax is a registered investment advisor at UBS Financial Services INC., based in Weehawken, NJ, with 31 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

1200 Harbor Boulevard, Weehawken, NJ, 07086

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History

Regulatory History (1)
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Customer Dispute
February 2013
Settled
Employment History
Current Registrations
UBS Financial Services INC.
August 2006 - Present · 19 yrs 11 mos
UBS Financial Services INC.Broker
August 2006 - Present · 19 yrs 11 mos
Previous Registrations
Piper Jaffray & CO.
April 2002 - August 2006 · 4 yrs 4 mos
Piper Jaffray & CO.Broker
April 2002 - August 2006 · 4 yrs 4 mos
J.P. Morgan Securities INC.Broker
February 2000 - April 2002 · 2 yrs 2 mos
Hambrecht & Quist LLCBroker
March 1995 - February 2000 · 4 yrs 11 mos
Robertson, Stephens & Company, L.P.Broker
February 1994 - November 1994 · 9 mos
State Registrations9 states
CACTIDNCNVNYOHORTX
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.
Kenneth Flax - Financial Advisor | TrueAdvisor