EK
EK

Ernie Kloock

27 Years of Experience
Paramus, NJ
2 DisclosuresBroker

Ernie Kloock is a registered investment advisor at UBS Financial Services INC., based in Paramus, NJ, with 27 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

61 South Paramus Road, Mack Center Iv, Paramus, NJ, 07652

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History

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
May 2023
Pending
Customer Dispute
July 2011
Settled
Employment History
Current Registrations
UBS Financial Services INC.Broker
September 2014 - Present · 11 yrs 8 mos
UBS Financial Services INC.
September 2014 - Present · 11 yrs 8 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
October 2009 - September 2014 · 4 yrs 11 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 2009 - September 2014 · 4 yrs 11 mos
Banc of America Investment Services, INC.Broker
October 2004 - October 2009 · 5 yrs
Banc of America Investment Services, INC.
October 2004 - October 2009 · 5 yrs
Quick & Reilly, INC.
November 2002 - October 2004 · 1 yr 11 mos
Quick & Reilly, INC.Broker
February 2002 - October 2004 · 2 yrs 8 mos
Morgan Stanley Dw INC.Broker
October 1998 - February 2002 · 3 yrs 4 mos
State Registrations32 states
ALAZCACOCTDEFLGAHIIAKYMAMDMEMIMNMSNCNHNJNVNYOHORPASCTNTXVAVTWAWV
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.
Ernie Kloock - Financial Advisor | TrueAdvisor