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Andrew Kauth

24 Years of Experience
Denver, CO
2 DisclosuresBroker

Andrew Kauth is a registered investment advisor at UBS Financial Services INC., based in Denver, CO, with 24 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

205 Detroit Street, 5th floor, Denver, CO, 80206

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History

Regulatory History (2)
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
November 2021
Closed-No Action
Customer Dispute
August 2009
Denied
Employment History
Current Registrations
UBS Financial Services INC.
April 2011 - Present · 15 yrs 1 mo
UBS Financial Services INC.
April 2011 - Present · 15 yrs 1 mo
UBS Financial Services INC.Broker
April 2011 - Present · 15 yrs 1 mo
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
June 2005 - April 2011 · 5 yrs 10 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
May 2005 - April 2011 · 5 yrs 11 mos
Prudential Securities IncorporatedBroker
July 1999 - October 2001 · 2 yrs 3 mos
Vector Securities International, INC.Broker
October 1997 - July 1999 · 1 yr 9 mos
State Registrations40 states
AZCACOCTDCDEFLGAIAIDILINKSKYLAMAMDMIMNMOMSMTNCNHNJNMNVNYOHOKORPATNTXUTVAVTWAWIWY
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.
Andrew Kauth - Financial Advisor | TrueAdvisor