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Franklin Fortney

UBS Financial Services INC.
24 Years of Experience
Houston, TX
2 DisclosuresBroker
View SEC Summary
View SEC Summary

Franklin Fortney is a registered investment advisor at UBS Financial Services INC., based in Houston, TX, with 24 years of industry experience. Franklin 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

750 Town and Country Blvd, Suite 400, Houston, TX, 77024

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History

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.
Employment Separation After Allegations
January 2012
Customer Dispute
May 2008
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Franklin is a partner in SGF Partners, LLC and HFW Energy Partners, LLC, both investment partnerships, though neither has made investments. He is also a proprietor/owner of FGF Holdings LLC, holding personal items, and is on the event committee for the SEAL Legacy Foundation, a non-profit organization.

Employment History
Current Registrations
UBS Financial Services INC.Broker
March 2021 - Present · 5 yrs 7 mos
UBS Financial Services INC.
March 2021 - Present · 5 yrs 7 mos
Previous Registrations
Morgan StanleyBroker
January 2012 - March 2021 · 9 yrs 2 mos
Morgan Stanley
January 2012 - March 2021 · 9 yrs 2 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
June 2003 - February 2012 · 8 yrs 8 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
May 2003 - February 2012 · 8 yrs 9 mos
Abn Amro IncorporatedBroker
February 2002 - March 2003 · 1 yr 1 mo
State Registrations13 states
ARCACOFLGAILLAMTNYOKPATNTX
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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