NE
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Neal Engesetter
16 Years of Experience
Providence, RI
2 DisclosuresBroker
Neal Engesetter is a registered investment advisor at UBS Financial Services INC., based in Providence, RI, with 16 years of industry experience. Neal 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
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
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Location
500 Exchange Street Suite 1210, Providence, RI, 02903
Get directionsHistory
Regulatory History (2)
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
August 2015Settled
Customer Dispute
May 2015Settled
Employment History
Current Registrations
UBS Financial Services INC.
May 2022 - Present · 4 yrs 5 mos
UBS Financial Services INC.Broker
July 2021 - Present · 5 yrs 3 mos
Previous Registrations
Suntrust Investment Services, INC.Broker
June 2017 - March 2018 · 9 mos
Suntrust Advisory Services, INC.
June 2017 - March 2018 · 9 mos
Waddell & ReedBroker
June 2016 - August 2016 · 2 mos
Waddell & Reed
June 2016 - August 2016 · 2 mos
J.P. Morgan Securities LLC
October 2012 - August 2015 · 2 yrs 10 mos
J.P. Morgan Securities LLCBroker
October 2012 - August 2015 · 2 yrs 10 mos
Chase Investment Services CORP.
May 2010 - October 2012 · 2 yrs 5 mos
Chase Investment Services CORP.Broker
March 2006 - October 2012 · 6 yrs 7 mos
Banc of America Investment Services, INC.Broker
July 2005 - March 2006 · 8 mos
State Registrations32 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNVNYRITN
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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