Patrick Flood
Patrick Flood is a registered investment advisor at UBS Financial Services INC., based in Santa Barbara, CA, with 32 years of industry experience. Patrick 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
Firm Size
IM Fee
Assets Under Management
Fee Structure
- 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.
Location
222 E. Carrillo St., Suite 106, Santa Barbara, CA, 93101
Get directionsHistory
Regulatory History (2)
Customer Dispute
June 2014Customer Dispute
August 2004Other Business Activities
Patrick is an LLC member involved in managing wholly owned rental and vacation rental properties through Vlundoz LLC and Flood Vacations. He spends minimal time signing documents and making decisions with his wife.
Employment History
Current Registrations
UBS Financial Services INC.Broker
UBS Financial Services INC.
Previous Registrations
Wells Fargo Advisors, LLCBroker
Wells Fargo Advisors, LLC
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
Dean Witter Reynolds INC.Broker
State Registrations23 states
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
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