TrueAdvisor
TrueAdvisor
CD
CD

Carrie Dady

UBS Financial Services INC.
26 Years of Experience
Albany, NY
1 DisclosureBroker
View SEC Summary
View SEC Summary

Carrie Dady is a registered investment advisor at UBS Financial Services INC., based in Albany, NY, with 26 years of industry experience. Carrie 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

8 Southwoods Blvd Suite 207, Albany, NY, 12211

Get directions

History

Regulatory History (1)
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
June 2004
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Carrie is a member of ABAB, LLC, a family rental property business, since 2016. This activity is not investment-related.

Employment History
Current Registrations
UBS Financial Services INC.
October 2021 - Present · 5 yrs
UBS Financial Services INC.Broker
August 2010 - Present · 16 yrs 2 mos
Previous Registrations
Morgan Stanley Smith BarneyBroker
June 2009 - September 2010 · 1 yr 3 mos
Citigroup Global Markets INC.Broker
July 2006 - June 2009 · 2 yrs 11 mos
Purshe Kaplan Sterling InvestmentsBroker
December 2003 - February 2006 · 2 yrs 2 mos
AXA Advisors, LLCBroker
November 1999 - October 2003 · 3 yrs 11 mos
The Equitable Life Assurance Society of the United StatesBroker
November 1999 - January 2000 · 2 mos
State Registrations11 states
CACTFLMAMDNCNJNYPASCVT
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.
More Advisors
More financial advisors in Albany, NY →All financial advisors in New York →