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Glenn Mosier

UBS Financial Services INC.
54 Years of Experience
La Jolla, CA
4 DisclosuresBroker
View SEC Summary
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Glenn Mosier is a registered investment advisor at UBS Financial Services INC., based in La Jolla, CA, with 54 years of industry experience. Glenn 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

1200 Prospect Street, Suite 100, La Jolla, CA, 92037

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History

Regulatory History (4)
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
March 2008
Settled
Customer Dispute
February 2008
Settled
Customer Dispute
November 1993
Settled
Customer Dispute
March 1985
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Glenn is a board member and advisory board member for a trade or industry association and a 501c3 foundation, respectively, since 2009. The organization aims to accelerate the innovation hub in San Diego, CA.

Employment History
Current Registrations
UBS Financial Services INC.
December 1985 - Present · 40 yrs 10 mos
UBS Financial Services INC.
April 1983 - Present · 43 yrs 6 mos
UBS Financial Services INC.Broker
April 1983 - Present · 43 yrs 6 mos
Previous Registrations
Wzw Financial Services, INC.Broker
July 1974 - September 1983 · 9 yrs 2 mos
Westfield Securities CompanyBroker
September 1973 - August 1974 · 11 mos
S. J. Wolfe & CO.Broker
May 1973 - September 1973 · 4 mos
The Lincoln National Life Insurance CompanyBroker
July 1970 - August 1971 · 1 yr 1 mo
Hayden, Stone IncorporatedBroker
July 1970 - May 1971 · 10 mos
State Registrations27 states
AZCACODCDEFLGAHIIAILKYLAMAMDMINCNJNVNYOHORPATNTXUTVAWA
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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