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Helen Vollmer

UBS Financial Services INC.
31 Years of Experience
San Francisco, CA
1 DisclosureBroker
View SEC Summary
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Helen Vollmer is a registered investment advisor at UBS Financial Services INC., based in San Francisco, CA, with 31 years of industry experience. Helen 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.

UBS Financial Services INC.
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
View Full SEC Brochure

Location

555 California Street, 32nd Floor/ Suite 3200, San Francisco, CA, 94104

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History

Regulatory History (1)
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
August 2018
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Helen serves as a trustee for the William T. Brown Estate, managing and distributing assets since 2015. This activity is related to consumer and investment services.

Employment History
Current Registrations
UBS Financial Services INC.
December 2012 - Present · 13 yrs 10 mos
UBS Financial Services INC.Broker
November 2012 - Present · 13 yrs 11 mos
UBS Financial Services INC.
November 2012 - Present · 13 yrs 11 mos
Previous Registrations
Morgan Stanley
June 2009 - December 2012 · 3 yrs 6 mos
Morgan StanleyBroker
June 2009 - December 2012 · 3 yrs 6 mos
Citigroup Global Markets INC.Broker
August 2007 - June 2009 · 1 yr 10 mos
Citigroup Global Markets INC.
August 2007 - June 2009 · 1 yr 10 mos
Credit Suisse Securities (USA) LLC
January 2003 - September 2007 · 4 yrs 8 mos
Donaldson Lufkin & Jenrette Securities Corporation
July 2002 - January 2003 · 6 mos
Credit Suisse Securities (USA) LLCBroker
December 2000 - September 2007 · 6 yrs 9 mos
Donaldson, Lufkin & Jenrette Securities CorporationBroker
October 1998 - January 2003 · 4 yrs 3 mos
Ing Baring Furman Selz LLCBroker
July 1996 - June 1999 · 2 yrs 11 mos
Citicorp Investment ServicesBroker
October 1994 - April 1996 · 1 yr 6 mos
State Registrations13 states
AZCACOCTFLMAMENYPATNTXVAWA
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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