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Stephen Collins

UBS Financial Services INC.
31 Years of Experience
Westport, CT
2 DisclosuresBroker
View SEC Summary
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Stephen Collins is a registered investment advisor at UBS Financial Services INC., based in Westport, CT, with 31 years of industry experience. Stephen 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

8 Wright Street, Westport, CT, 06880-4701

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History

Regulatory History (2)
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
September 2009
Denied
Customer Dispute
April 2002
Denied
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
UBS Financial Services INC.Broker
July 2020 - Present · 6 yrs 3 mos
UBS Financial Services INC.
July 2020 - Present · 6 yrs 3 mos
Previous Registrations
Raymond James & Associates, INC.Broker
October 2016 - August 2020 · 3 yrs 10 mos
Raymond James & Associates, INC.
October 2016 - August 2020 · 3 yrs 10 mos
Citigroup Global Markets INC.Broker
May 2012 - October 2016 · 4 yrs 5 mos
Citigroup Global Markets INC.
May 2012 - October 2016 · 4 yrs 5 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 2009 - May 2012 · 2 yrs 7 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
October 2009 - May 2012 · 2 yrs 7 mos
Banc of America Investment Services, INC.
December 2008 - October 2009 · 10 mos
Banc of America Investment Services, INC.Broker
November 2007 - October 2009 · 1 yr 11 mos
Morgan Stanley & CO., IncorporatedBroker
April 2007 - November 2007 · 7 mos
Morgan Stanley Dw INC.Broker
August 2004 - April 2007 · 2 yrs 8 mos
Citigroup Global Markets INC.Broker
December 2002 - August 2004 · 1 yr 8 mos
Cibc World Markets CORP.Broker
April 2001 - December 2002 · 1 yr 8 mos
Salomon Smith Barney INC.Broker
October 1997 - April 2001 · 3 yrs 6 mos
Prime Charter LTD.Broker
September 1996 - October 1997 · 1 yr 1 mo
Ladenburg, Thalmann & CO., INC.Broker
April 1996 - October 1996 · 6 mos
Sands Brothers & CO., LTD.Broker
October 1995 - May 1996 · 7 mos
State Registrations49 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMTNCNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTWAWIWY
AdvisorBrokerBoth

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Exams
No exam information available for this advisor.
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