WH
CFA
WH
CFA

William Hand

23 Years of Experience
New York, NY
Broker

William Hand is a CFA-designated registered investment advisor at UBS Financial Services INC., based in New York, NY, with 23 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

299 Park Ave, 26th Floor, New York, NY, 10171

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

William helps oversee the investments of a trust, Credit Shelter TUW William J Hand, established in 2022. This activity is investment-related and the time commitment is not specified.

Employment History
Current Registrations
UBS Financial Services INC.Broker
October 2023 - Present · 2 yrs 11 mos
UBS Financial Services INC.
October 2023 - Present · 2 yrs 11 mos
UBS Financial Services INC.
October 2023 - Present · 2 yrs 11 mos
Previous Registrations
Stifel, Nicolaus & Company, Incorporated
December 2015 - October 2023 · 7 yrs 10 mos
Stifel, Nicolaus & Company, IncorporatedBroker
December 2015 - October 2023 · 7 yrs 10 mos
Barclays Capital INC.
November 2012 - December 2015 · 3 yrs 1 mo
Barclays Capital INC.Broker
October 2011 - December 2015 · 4 yrs 2 mos
Macquarie Capital (USA) INC.Broker
February 2011 - July 2011 · 5 mos
Bear, Stearns & CO. INC.Broker
October 2000 - June 2008 · 7 yrs 8 mos
Donaldson, Lufkin & Jenrette Securities CorporationBroker
February 2000 - October 2000 · 8 mos
State Registrations40 states
ALARAZCACOCTDCDEFLGAHIILINKSKYLAMAMDMIMNMONCNENJNMNVNYOHORPAPRRISCTNTXUTVAVTWAWI
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.