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Susan Blount

UBS Financial Services INC.
31 Years of Experience
St Paul, MN
1 DisclosureBroker
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Susan Blount is a registered investment advisor at UBS Financial Services INC., based in St Paul, MN, with 31 years of industry experience. Susan 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
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Location

444 Cedar St, St Paul, MN, 55101-2108

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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
March 2021
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Susan serves on the membership committee with the Association of Adventist Forum. This activity is not investment-related.

Employment History
Current Registrations
UBS Financial Services INC.
October 2008 - Present · 18 yrs
UBS Financial Services INC.
October 2008 - Present · 18 yrs
UBS Financial Services INC.Broker
October 2008 - Present · 18 yrs
Previous Registrations
Morgan Stanley & CO. Incorporated
April 2007 - October 2008 · 1 yr 6 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - October 2008 · 1 yr 6 mos
Morgan Stanley
March 2007 - April 2007 · 1 mo
Morgan Stanley Dw INC.Broker
September 1995 - April 2007 · 11 yrs 7 mos
State Registrations26 states
AZCACOFLGAILKSMAMDMIMNMTNDNMNVNYOHORPASCSDTXVAVTWAWI
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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