Roderick Lipsey
Roderick Lipsey is a registered investment advisor at UBS Financial Services INC., based in Washington, DC, with 25 years of industry experience. Roderick 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.
Compensation
Firm Size
IM Fee
Assets Under Management
Fee Structure
- 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.
Location
1700 M Street NW, 5th Floor, Washington, DC, 20036
Get directionsHistory
Regulatory History (5)
Customer Dispute
December 2022Customer Dispute
August 2020Customer Dispute
July 2020Customer Dispute
October 2019Customer Dispute
September 2019Other Business Activities
Roderick is a trustee for The Aspen Institute since 2007, dedicating minimal time. He also serves as the Board Chairman for The CNA Corporation Analysis and Research, a non-profit, since 2015.
Employment History
Current Registrations
UBS Financial Services INC.
UBS Financial Services INC.Broker
Previous Registrations
Goldman, Sachs & CO.Broker
State Registrations27 states
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
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