JW
JW

Jay Williams

24 Years of Experience
Charlotte, VT
1 DisclosureBroker

Jay Williams is a registered investment advisor at UBS Financial Services INC., based in Charlotte, VT, with 24 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
Loading...

Location

Charlotte, VT

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
August 2009
Settled
Other Business Activities

Jay is a passive investor in GKPM LLC, established in 2006 to invest in Skyhawke Technologies. He also owns land through Decker Lake Farms, LLC and a condo with his sister through WillKull Partners LLC.

Employment History
Current Registrations
UBS Financial Services INC.
December 2008 - Present · 17 yrs 5 mos
UBS Financial Services INC.
December 2008 - Present · 17 yrs 5 mos
UBS Financial Services INC.Broker
December 2008 - Present · 17 yrs 5 mos
Previous Registrations
Banc of America Investment Services, INC.
April 2004 - December 2008 · 4 yrs 8 mos
Banc of America Investment Services, INC.Broker
April 2004 - December 2008 · 4 yrs 8 mos
Suntrust Securities, INC.Broker
February 2003 - May 2004 · 1 yr 3 mos
Goldman, Sachs & CO.Broker
June 2000 - November 2001 · 1 yr 5 mos
State Registrations28 states
ARAZCACOCTDEFLHIIDILINKYLAMSNVNYOHOKORPASDTNTXVAVTWAWIWY
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.
Jay Williams - Financial Advisor | TrueAdvisor