RA
RA

Rachel Arendt

23 Years of Experience
La Jolla, CA
Broker

Rachel Arendt is a registered investment advisor at UBS Financial Services INC., based in La Jolla, CA, with 23 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Retirement Planning, and 1 more. Their firm serves 1,134,581 clients with $810B in assets under management.

Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9502 advisors
IM Fee
Planning only
Assets Under Management
$808.8B

Fee Structure

UBS Financial Services Inc. offers financial planning services for a fee, with costs ranging from $500 to $50,000, though most clients pay between $1,000 and $10,000. Fees exceeding $50,000 but not more than $100,000 may be permitted for complex situations involving relationships with a net worth of $100 million or more. The fees are negotiable and may vary based on the range of services selected, the scope of the engagement, the complexity of the services, the nature and amount of client assets involved, and the financial advisor's business model.

One-Time Plan:$500 - $50,000
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Location

1200 Prospect Street, Suite 100, La Jolla, CA, 92037

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

Rachel owns and manages rental properties since 2013 and 2018, dedicating a few hours per week to these activities. These activities are not investment-related.

Employment History
Current Registrations
UBS Financial Services INC.Broker
January 2016 - Present · 10 yrs 4 mos
UBS Financial Services INC.
January 2016 - Present · 10 yrs 4 mos
Previous Registrations
Raymond James & Associates, INC.
December 2014 - December 2015 · 1 yr
Raymond James & Associates, INC.Broker
December 2014 - December 2015 · 1 yr
UBS Financial Services INC.
September 2010 - July 2013 · 2 yrs 10 mos
UBS Financial Services INC.Broker
September 2010 - July 2013 · 2 yrs 10 mos
Edward JonesBroker
January 2010 - June 2010 · 5 mos
UBS Financial Services INC.
November 2004 - August 2008 · 3 yrs 9 mos
UBS Financial Services INC.Broker
August 2000 - August 2008 · 8 yrs
J.C. Bradford & CO.Broker
July 1999 - August 2000 · 1 yr 1 mo
Prudential Securities IncorporatedBroker
March 1999 - July 1999 · 4 mos
State Registrations2 states
CASC
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.