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Denise Kowalewski

28 Years of Experience
Providence, RI
1 DisclosureBroker

Denise Kowalewski is a registered investment advisor at UBS Financial Services INC., based in Providence, RI, with 28 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

500 Exchange Street, Suite 1210, Providence, RI, 02903

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History

Regulatory History (1)
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Customer Dispute
July 2004
Denied
Employment History
Current Registrations
UBS Financial Services INC.Broker
April 2012 - Present · 14 yrs 1 mo
UBS Financial Services INC.
April 2012 - Present · 14 yrs 1 mo
UBS Financial Services INC.
April 2012 - Present · 14 yrs 1 mo
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
October 2009 - April 2012 · 2 yrs 6 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 2009 - April 2012 · 2 yrs 6 mos
Banc of America Investment Services, INC.Broker
October 2007 - October 2009 · 2 yrs
Banc of America Investment Services, INC.
October 2007 - October 2009 · 2 yrs
Morgan Stanley & CO., Incorporated
April 2007 - October 2007 · 6 mos
Morgan Stanley & CO., IncorporatedBroker
April 2007 - October 2007 · 6 mos
Morgan Stanley
March 1998 - April 2007 · 9 yrs 1 mo
Morgan Stanley Dw INC.Broker
November 1997 - April 2007 · 9 yrs 5 mos
State Registrations31 states
ALAZCACOCTDCDEFLGAILINKSKYLAMAMEMIMTNCNENHNJNYORPARISCTXVAWAWI
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.