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Michael Pence

UBS Financial Services INC.
29 Years of Experience
Houston, TX
1 DisclosureBroker
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Michael Pence is a registered investment advisor at UBS Financial Services INC., based in Houston, TX, with 29 years of industry experience. Michael 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

4400 Post Oak Parkway, 17th Floor, Houston, TX, 77027

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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
February 2002
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Michael is a partner at Opinion Jungle LLC, an information technology company focused on consumer experience management and corporate strategy, since 2010.

Employment History
Current Registrations
UBS Financial Services INC.
August 2012 - Present · 14 yrs 2 mos
UBS Financial Services INC.
August 2012 - Present · 14 yrs 2 mos
UBS Financial Services INC.Broker
August 2012 - Present · 14 yrs 2 mos
Previous Registrations
Morgan Stanley Smith Barney LLC
June 2009 - September 2012 · 3 yrs 3 mos
Morgan Stanley Smith BarneyBroker
June 2009 - September 2012 · 3 yrs 3 mos
Citigroup Global Markets INC.Broker
January 2006 - June 2009 · 3 yrs 5 mos
Citigroup Global Markets INC.
January 2006 - June 2009 · 3 yrs 5 mos
Chase Investment Services CORP.
March 2000 - January 2006 · 5 yrs 10 mos
Chase Investment Services CORP.Broker
March 1999 - January 2006 · 6 yrs 10 mos
Chase Securities of Texas, INC.Broker
August 1997 - March 1999 · 1 yr 7 mos
American Express Financial Advisors INC.Broker
December 1995 - March 1996 · 3 mos
State Registrations25 states
ARCACOCTFLHIINKSKYLAMAMIMONCNHNJNMNYOHPATNTXVAWAWY
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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