ZS
ZS
Zachary Sech
30 Years of Experience
Cincinnati, OH
1 DisclosureBroker
Zachary Sech is a registered investment advisor at UBS Financial Services INC., based in Cincinnati, OH, with 30 years of industry experience. Zachary 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
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
312 Walnut Street, Suite 3300, Cincinnati, OH, 45202
Get directionsHistory
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 2009Settled
Employment History
Current Registrations
UBS Financial Services INC.
December 2008 - Present · 17 yrs 10 mos
UBS Financial Services INC.
December 2008 - Present · 17 yrs 10 mos
UBS Financial Services INC.Broker
December 2008 - Present · 17 yrs 10 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
July 2002 - December 2008 · 6 yrs 5 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
July 2002 - December 2008 · 6 yrs 5 mos
Salomon Smith Barney INC.Broker
November 2000 - July 2002 · 1 yr 8 mos
A. G. Edwards & Sons, INC.Broker
August 1996 - November 2000 · 4 yrs 3 mos
State Registrations15 states
AZFLGAINKYMAMINCNJOHSCTNTXVAWY
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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