SW
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Steven West
26 Years of Experience
Bethesda, MD
1 DisclosureBroker
Steven West is a registered investment advisor at UBS Financial Services INC., based in Bethesda, MD, with 26 years of industry experience. Steven 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
9356 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
7272 Wisconsin Avenue 23rd Floor, Bethesda, MD, 20814
Get directionsHistory
Regulatory History (1)
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Customer Dispute
August 2006Denied
Employment History
Current Registrations
UBS Financial Services INC.Broker
June 2016 - Present · 10 yrs 4 mos
UBS Financial Services INC.
June 2016 - Present · 10 yrs 4 mos
Previous Registrations
Morgan Stanley
June 2009 - July 2016 · 7 yrs 1 mo
Morgan StanleyBroker
June 2009 - July 2016 · 7 yrs 1 mo
Citigroup Global Markets INC.Broker
February 2006 - June 2009 · 3 yrs 4 mos
Citigroup Global Markets INC.
February 2006 - June 2009 · 3 yrs 4 mos
Legg Mason Wood Walker INC
April 2000 - February 2006 · 5 yrs 10 mos
Legg Mason Wood Walker, IncorporatedBroker
October 1999 - February 2006 · 6 yrs 4 mos
State Registrations31 states
AZCACOCTDCDEFLGAHIILINKYMAMDMEMIMONCNJNMNYORPARISCTNTXUTVAWAWI
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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