Ladd Lumpkin
Ladd Lumpkin is a registered investment advisor at UBS Financial Services INC., based in Columbia, SC, with 31 years of industry experience. Ladd 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
1320 Main St, Suite 700, Columbia, SC, 29201
Get directionsHistory
Regulatory History (1)
Customer Dispute
November 2005Other Business Activities
Ladd is the owner of Continental Properties LLC since 2005. He dedicates minimal time to this activity, which is not investment-related.
Employment History
Current Registrations
UBS Financial Services INC.
UBS Financial Services INC.Broker
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations37 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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