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Michael Mcwhorter
28 Years of Experience
San Francisco, CA
2 DisclosuresBroker
Michael Mcwhorter is a registered investment advisor at UBS Financial Services INC., based in San Francisco, CA, with 28 years of industry experience. Michael 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
555 California St, 34th, 36th & 46th Floors, San Francisco, CA, 94104
Get directionsHistory
Regulatory History (2)
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
September 2007Denied
Customer Dispute
October 2001Settled
Employment History
Current Registrations
UBS Financial Services INC.
March 2009 - Present · 17 yrs 7 mos
UBS Financial Services INC.Broker
March 2009 - Present · 17 yrs 7 mos
Previous Registrations
Morgan Stanley & CO. Incorporated
April 2007 - March 2009 · 1 yr 11 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - March 2009 · 1 yr 11 mos
Morgan Stanley
August 1998 - April 2007 · 8 yrs 8 mos
Morgan Stanley Dw INC.Broker
January 1998 - April 2007 · 9 yrs 3 mos
State Registrations35 states
AKAZCACOCTDCFLGAHIIDILINKSMAMDMEMIMNNCNENJNMNVNYOHORPRRISCTNTXUTVAWAWI
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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