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Jean Ferrer

UBS Financial Services INC.
26 Years of Experience
San Antonio, TX
8 DisclosuresBroker
View SEC Summary
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Jean Ferrer is a registered investment advisor at UBS Financial Services INC., based in San Antonio, TX, with 26 years of industry experience. Jean 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

Promenade One 17806 IH 10 W, Suite 210, San Antonio, TX, 78257

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History

Regulatory History (8)
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
September 2014
Settled
Judgment / Lien
October 2011
Judgment / Lien
June 2011
Customer Dispute
March 2010
Settled
Customer Dispute
June 2009
Settled
Customer Dispute
August 2007
Closed-No Action
Customer Dispute
March 2007
Settled
Customer Dispute
January 2006
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
UBS Financial Services INC.
December 2013 - Present · 12 yrs 10 mos
UBS Financial Services INC.Broker
December 2013 - Present · 12 yrs 10 mos
Previous Registrations
Morgan StanleyBroker
June 2009 - January 2014 · 4 yrs 7 mos
Morgan Stanley
June 2009 - January 2014 · 4 yrs 7 mos
Citigroup Global Markets INC.Broker
December 2006 - June 2009 · 2 yrs 6 mos
Citigroup Global Markets INC.
December 2006 - June 2009 · 2 yrs 6 mos
Banc of America Investment Services, INC.
July 2002 - December 2006 · 4 yrs 5 mos
Banc of America Investment Services, INC.Broker
September 2000 - December 2006 · 6 yrs 3 mos
State Registrations6 states
AZCAMONMNVTX
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.
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