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David Spiegel

52 Years of Experience
Pasadena, CA
1 DisclosureBroker

David Spiegel is a registered investment advisor at UBS Financial Services INC., based in Pasadena, CA, with 52 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

251 South Lake Avenue, 10th Floor, Pasadena, CA, 91101

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History

Regulatory History (1)
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Customer Dispute
February 2004
Denied
Employment History
Current Registrations
UBS Financial Services INC.
July 1997 - Present · 28 yrs 10 mos
UBS Financial Services INC.
January 1980 - Present · 46 yrs 4 mos
UBS Financial Services INC.Broker
January 1980 - Present · 46 yrs 4 mos
Previous Registrations
Blyth Eastman Dillon & CO. IncorporatedBroker
March 1974 - January 1980 · 5 yrs 10 mos
State Registrations38 states
ARAZCACOCTDCFLGAHIIDINKSKYLAMAMDMEMIMNMONCNDNHNJNMNVNYOHOKORPASCTNTXUTVAWAWI
AdvisorBrokerBoth

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Exams
No exam information available for this advisor.