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. Ernie 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
61 South Paramus Road, Mack Center Iv, Paramus, NJ, 07652
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
May 2023Settled
Customer Dispute
July 2011Settled
Employment History
Current Registrations
UBS Financial Services INC.Broker
September 2014 - Present · 12 yrs 1 mo
UBS Financial Services INC.
September 2014 - Present · 12 yrs 1 mo
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 Registrations34 states
ALAZCACOCTDEFLGAHIIAILINKYMAMDMEMIMNMSNCNHNJNVNYOHORPASCTNTXVAVTWAWV
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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