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Kim Le

23 Years of Experience
San Francisco, CA
Broker

Kim Le is a registered investment advisor at UBS Financial Services INC., based in San Francisco, 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

555 California St, 34th, 36th & 46th Floors, San Francisco, CA, 94104

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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

Kim owns Sen5es, a home-baked goods business, since 2014. This activity requires minimal time outside of business hours.

Employment History
Current Registrations
UBS Financial Services INC.
September 2022 - Present · 3 yrs 10 mos
UBS Financial Services INC.
September 2022 - Present · 3 yrs 10 mos
UBS Financial Services INC.Broker
September 2022 - Present · 3 yrs 10 mos
Previous Registrations
Morgan StanleyBroker
June 2009 - October 2022 · 13 yrs 4 mos
Morgan Stanley
June 2009 - October 2022 · 13 yrs 4 mos
Morgan Stanley & CO. Incorporated
August 2007 - June 2009 · 1 yr 10 mos
Morgan Stanley & CO. IncorporatedBroker
May 2007 - June 2009 · 2 yrs 1 mo
Citigroup Global Markets INC.Broker
February 2007 - March 2007 · 1 mo
Citigroup Global Markets INC.Broker
December 2001 - September 2003 · 1 yr 9 mos
Sutro & CO. IncorporatedBroker
June 1999 - March 2001 · 1 yr 9 mos
Franklin/templeton Distributors, INC.Broker
May 1998 - June 1999 · 1 yr 1 mo
State Registrations31 states
AZCACOCTDCFLGAHIIDILINLAMAMSNCNDNJNVNYOHOKORPASCSDTNTXUTVAWAWI
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.