JL
JL

Jorge Lopez-Balboa

52 Years of Experience
Washington, DC
2 DisclosuresBroker

Jorge Lopez-Balboa is a registered investment advisor at UBS Financial Services INC., based in Washington, DC, with 52 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

1700 M Street NM, 5th Floor, Washington, DC, 20036

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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
September 1990
Settled
Regulatory
November 1978
Final
Employment History
Current Registrations
UBS Financial Services INC.
October 2009 - Present · 16 yrs 7 mos
UBS Financial Services INC.
September 2009 - Present · 16 yrs 8 mos
UBS Financial Services INC.Broker
September 2009 - Present · 16 yrs 8 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
March 1981 - January 2002 · 20 yrs 10 mos
Dean Witter Reynolds INC.Broker
March 1978 - April 1981 · 3 yrs 1 mo
Drexel Burnham Lambert IncorporatedBroker
January 1977 - April 1978 · 1 yr 3 mos
Drexel Burnham & CO. IncorporatedBroker
September 1976 - January 1977 · 4 mos
Loeb Rhoades & COBroker
September 1972 - October 1976 · 4 yrs 1 mo
Paine, Webber, Jackson & Curtis IncorporatedBroker
May 1966 - September 1972 · 6 yrs 4 mos
State Registrations28 states
ALAZCACOCTDCDEFLGAILINLAMAMDMIMNNCNJNYOHORPASCTNTXVAWAWV
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.
Jorge Lopez-Balboa - Financial Advisor | TrueAdvisor