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Stacey Koziatek

UBS Financial Services INC.
20 Years of Experience
Chesterfield, MO
1 DisclosureBroker
View SEC Summary
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Stacey Koziatek is a registered investment advisor at UBS Financial Services INC., based in Chesterfield, MO, with 20 years of industry experience. Stacey 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

16690 Swingley Ridge Road Suite 240-A, Chesterfield, MO, 63017

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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
June 2026
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Stacey is a member of Augusta Yoga, LLC (fitness), Sweetpea B&B LLC (hospitality), and a partner in C&K Adventures LLC (agriculture). She also serves as treasurer for the Defiance Merchants Association, a non-profit, spending minimal time on administrative tasks for C&K Adventures and the Merchants Association.

Employment History
Current Registrations
UBS Financial Services INC.Broker
November 2023 - Present · 2 yrs 11 mos
UBS Financial Services INC.
November 2023 - Present · 2 yrs 11 mos
UBS Financial Services INC.
November 2023 - Present · 2 yrs 11 mos
Previous Registrations
Morgan Stanley
October 2018 - December 2023 · 5 yrs 2 mos
Morgan StanleyBroker
October 2018 - December 2023 · 5 yrs 2 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
July 2005 - April 2017 · 11 yrs 9 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
July 2005 - April 2017 · 11 yrs 9 mos
Morgan Stanley
June 2004 - July 2005 · 1 yr 1 mo
Morgan Stanley Dw INC.Broker
May 2004 - July 2005 · 1 yr 2 mos
State Registrations22 states
AZCACOFLHIIAILINKSKYMAMIMONCNMNYORSCTNTXVTWI
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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