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John Stanford

25 Years of Experience
Charlotte, NC
1 DisclosureBroker

John Stanford is a registered investment advisor at UBS Financial Services INC., based in Charlotte, NC, 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

6100 Fairview Road, 9th Floor, Charlotte, NC, 28211

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History

Regulatory History (1)
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Customer Dispute
July 2013
Closed-No Action
Employment History
Current Registrations
UBS Financial Services INC.
May 2014 - Present · 12 yrs
UBS Financial Services INC.
May 2014 - Present · 12 yrs
UBS Financial Services INC.Broker
May 2014 - Present · 12 yrs
Previous Registrations
Wells Fargo Advisors, LLC
March 2008 - June 2014 · 6 yrs 3 mos
Wells Fargo Advisors, LLCBroker
March 2008 - June 2014 · 6 yrs 3 mos
Uvest Financial Services Group, INC.
May 2006 - April 2008 · 1 yr 11 mos
Uvest Financial Services Group, INC.Broker
May 2006 - April 2008 · 1 yr 11 mos
Jonathan Roberts Advisory Group, INC.
September 2005 - May 2006 · 8 mos
J.W. Cole Financial, INC.Broker
September 2004 - May 2006 · 1 yr 8 mos
A. G. Edwards & Sons, INC.
October 2000 - September 2004 · 3 yrs 11 mos
A. G. Edwards & Sons, INC.Broker
October 2000 - September 2004 · 3 yrs 11 mos
State Registrations29 states
CACOCTDCDEFLGAILINKSKYMAMDMIMNMOMSNCNJNVNYOHOKPASCTNTXUTVA
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.