John Spillane
John Spillane is a registered investment advisor at UBS Financial Services INC., based in Chicago, IL, with 29 years of industry experience. John 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
Firm Size
IM Fee
Assets Under Management
Fee Structure
- 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.
Location
1 North Wacker Drive, 32nd & 33rd, Chicago, IL, 60606
Get directionsHistory
Regulatory History (2)
Customer Dispute
July 2001Customer Dispute
February 2001Other Business Activities
John is an instructor at the University of Illinois Chicago since 2002, dedicating minimal time annually. He also instructs a basic investment class at Oakton Community College since 2001, spending minimal time annually.
Employment History
Current Registrations
UBS Financial Services INC.Broker
UBS Financial Services INC.
Previous Registrations
Wachovia Securities, LLCBroker
Wachovia Securities, LLC
Prudential Securities Incorporated
Prudential Securities IncorporatedBroker
Dean Witter Reynolds INC.Broker
Nationwide Investment Services CorporationBroker
State Registrations29 states
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
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