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CFP
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CFP

Daniel Grover

UBS Financial Services INC.
30 Years of Experience
Walnut Creek, CA
1 DisclosureBroker
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Daniel Grover is a CFP-designated registered investment advisor at UBS Financial Services INC., based in Walnut Creek, CA, with 30 years of industry experience. Daniel 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

1255 Treat Blvd, Suite 1000, Walnut Creek, CA, 94597

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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
October 2004
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Daniel is a member of the board of directors for Lafayette Partners in Education, a non-profit organization supporting local public schools. He participates in school fundraising, audit, and investment committees.

Employment History
Current Registrations
UBS Financial Services INC.
January 2021 - Present · 5 yrs 9 mos
UBS Financial Services INC.Broker
January 2021 - Present · 5 yrs 9 mos
Previous Registrations
First Republic Securities Company, LLCBroker
July 2014 - February 2021 · 6 yrs 7 mos
First Republic Investment Management, INC.
January 2013 - February 2021 · 8 yrs 1 mo
M Holdings Securities, INC.Broker
March 2011 - July 2014 · 3 yrs 4 mos
Emerson Equity LLCBroker
October 2009 - March 2011 · 1 yr 5 mos
Astera Financial Group, LLC
March 2008 - December 2012 · 4 yrs 9 mos
Wells Fargo Investments, LLC
May 2001 - March 2008 · 6 yrs 10 mos
Wells Fargo Investments, LLCBroker
May 2001 - March 2008 · 6 yrs 10 mos
Wells Fargo Securities INC.Broker
January 1998 - May 2001 · 3 yrs 4 mos
Olde Discount CorporationBroker
November 1995 - January 1998 · 2 yrs 2 mos
State Registrations39 states
AKALAZCACOCTDEFLGAHIIAIDILINKYMAMDMEMIMOMTNCNENJNMNVNYOHORPASCSDTNTXUTVAWAWVWY
AdvisorBrokerBoth

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Exams
No exam information available for this advisor.
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