MH
MH

Matthew Hoffman

31 Years of Experience
New York, NY
1 DisclosureBroker

Matthew Hoffman is a registered investment advisor at UBS Financial Services INC., based in New York, NY, 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

299 Park Avenue, 8TH, 9TH, & 11TH Floors, New York, NY, 10171

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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
June 2004
Settled
Employment History
Current Registrations
UBS Financial Services INC.
April 2021 - Present · 5 yrs 1 mo
UBS Financial Services INC.Broker
April 2021 - Present · 5 yrs 1 mo
Previous Registrations
J.P. Morgan Securities LLC
March 2011 - April 2021 · 10 yrs 1 mo
J.P. Morgan Securities LLCBroker
March 2011 - April 2021 · 10 yrs 1 mo
Oppenheimer & CO. INC.
October 2007 - April 2011 · 3 yrs 6 mos
Oppenheimer & CO. INC.Broker
October 2004 - April 2011 · 6 yrs 6 mos
Morgan Stanley
December 2002 - October 2004 · 1 yr 10 mos
Morgan Stanley Dw INC.Broker
February 1999 - October 2004 · 5 yrs 8 mos
Cantor Fitzgerald PartnersBroker
March 1995 - February 1999 · 3 yrs 11 mos
Cantor Fitzgerald SecuritiesBroker
November 1994 - February 1999 · 4 yrs 3 mos
State Registrations45 states
AKALARAZCACOCTDCDEFLGAHIIDILINKSKYLAMAMDMEMIMNMONCNENHNJNMNVNYOHOKORPARISCTNTXUTVAVTWAWIWY
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.
Matthew Hoffman - Financial Advisor | TrueAdvisor