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Lawrence Toriello

UBS Financial Services INC.
25 Years of Experience
Denver, CO
1 DisclosureBroker
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Lawrence Toriello is a registered investment advisor at UBS Financial Services INC., based in Denver, CO, with 25 years of industry experience. Lawrence 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

205 Detroit Street, 5th floor, Denver, CO, 80206

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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
February 2009
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Lawrence owns a family business involving rental property since 1996, dedicating minimal time annually. He also owns Old Horse LLC since 2010, which is considered investment-related, and spends minimal time on it annually.

Employment History
Current Registrations
UBS Financial Services INC.
February 2022 - Present · 4 yrs 8 mos
UBS Financial Services INC.
February 2022 - Present · 4 yrs 8 mos
UBS Financial Services INC.Broker
February 2022 - Present · 4 yrs 8 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
November 2010 - February 2022 · 11 yrs 3 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
November 2010 - February 2022 · 11 yrs 3 mos
Morgan Stanley Smith Barney LLC
June 2009 - November 2010 · 1 yr 5 mos
Morgan Stanley Smith BarneyBroker
June 2009 - November 2010 · 1 yr 5 mos
Citigroup Global Markets INC.
September 2004 - June 2009 · 4 yrs 9 mos
Citigroup Global Markets INC.Broker
September 2004 - June 2009 · 4 yrs 9 mos
Merrill Lynch Pierce Fenner & Smith INC.
August 2001 - September 2004 · 3 yrs 1 mo
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
June 2001 - September 2004 · 3 yrs 3 mos
State Registrations41 states
ALAZCACOCTFLGAHIIAIDILINKSKYMAMDMEMIMNMTNCNENHNJNMNVNYOHOKORPARISCTNTXUTVAVTWAWIWY
AdvisorBrokerBoth

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Exams
No exam information available for this advisor.
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