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Heather Dempsey

25 Years of Experience
Austin, TX
Broker

Heather Dempsey is a registered investment advisor at UBS Financial Services INC., based in Austin, TX, with 25 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

98 San Jacinto Blvd, Suite 600, Austin, TX, 78701

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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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Employment History
Current Registrations
UBS Financial Services INC.Broker
April 2023 - Present · 3 yrs 1 mo
UBS Financial Services INC.
April 2023 - Present · 3 yrs 1 mo
UBS Financial Services INC.
April 2023 - Present · 3 yrs 1 mo
Previous Registrations
UBS Financial Services INC.
April 2011 - March 2023 · 11 yrs 11 mos
UBS Financial Services INC.Broker
April 2011 - March 2023 · 11 yrs 11 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
May 2009 - May 2011 · 2 yrs
UBS Financial Services INC.
August 2007 - May 2009 · 1 yr 9 mos
UBS Financial Services INC.Broker
August 2007 - May 2009 · 1 yr 9 mos
Northwestern Mutual Investment Services, LLCBroker
December 2003 - July 2007 · 3 yrs 7 mos
Northwestern Mutual Investment Services,llc
December 2003 - July 2007 · 3 yrs 7 mos
Charles Schwab & CO., INC.Broker
June 2002 - December 2003 · 1 yr 6 mos
Charles Schwab & CO., INC.
June 2002 - December 2003 · 1 yr 6 mos
Morgan Stanley Dw INC.Broker
May 2000 - May 2002 · 2 yrs
State Registrations27 states
ARAZCACODCFLGAIDINKSKYLAMDMIMNMOMSMTNENMNYOHOKORTXUTWA
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.