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Barry Blaustein

UBS Financial Services INC.
28 Years of Experience
New York, NY
9 DisclosuresBroker
View SEC Summary
View SEC Summary

Barry Blaustein is a registered investment advisor at UBS Financial Services INC., based in New York, NY, with 28 years of industry experience. Barry 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
View Full SEC Brochure

Location

299 Park Avenue, 8th Floor, New York, NY, 10171

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History

Regulatory History (9)
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.
Financial
August 2018
Final
Financial
July 2018
Final
Financial
May 2018
Final
Financial
May 2018
Final
Financial
April 2018
Final
Financial
April 2018
Final
Financial
April 2018
Final
Financial
January 2018
Final
Customer Dispute
May 2001
Denied
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
UBS Financial Services INC.
December 2008 - Present · 17 yrs 10 mos
UBS Financial Services INC.
December 2008 - Present · 17 yrs 10 mos
UBS Financial Services INC.Broker
December 2008 - Present · 17 yrs 10 mos
Previous Registrations
Morgan Stanley & CO. Incorporated
March 2008 - December 2008 · 9 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - December 2008 · 1 yr 8 mos
Morgan Stanley Dw INC.Broker
March 2002 - April 2007 · 5 yrs 1 mo
Wall Street Financial Group, INC.Broker
December 2000 - July 2001 · 7 mos
Paulson Investment Company, INC.Broker
January 2000 - December 2000 · 11 mos
Investec Ernst & CompanyBroker
October 1999 - January 2000 · 3 mos
Royce Investment Group, INC.Broker
January 1998 - October 1999 · 1 yr 9 mos
State Registrations40 states
AZCACOCTDCDEFLGAHIILINLAMAMDMIMNMOMTNCNENHNJNMNVNYOHORPAPRRISCSDTNTXUTVAVTWAWIWY
AdvisorBrokerBoth

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Exams
No exam information available for this advisor.
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