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Richard Pipes

UBS Financial Services INC.
30 Years of Experience
Baton Rouge, LA
1 DisclosureBroker
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Richard Pipes is a registered investment advisor at UBS Financial Services INC., based in Baton Rouge, LA, with 30 years of industry experience. Richard 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

7150 Jefferson Highway, Baton Rouge, LA, 70806

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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
Employment History
Current Registrations
UBS Financial Services INC.Broker
February 2009 - Present · 17 yrs 8 mos
UBS Financial Services INC.
February 2009 - Present · 17 yrs 8 mos
UBS Financial Services INC.
February 2009 - Present · 17 yrs 8 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
June 1999 - February 2009 · 9 yrs 8 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
August 1996 - February 2009 · 12 yrs 6 mos
State Registrations8 states
ALGALAMSMTNVTNTX
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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