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Max Stoka

UBS Financial Services INC.
23 Years of Experience
Weston, FL
1 DisclosureBroker
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Max Stoka is a registered investment advisor at UBS Financial Services INC., based in Weston, FL, with 23 years of industry experience. Max 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
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Location

Weston, FL

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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.
Employment Separation After Allegations
September 2003
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Other Business Activities

Max is a partner in 11064SWPath LLC and 836 81st Street LLC, both real estate rental partnerships. He also provides occasional financial analysis for his wife's health and nutrition counseling business, Weighless MD LLC, in which he owns 50%.

Employment History
Current Registrations
UBS Financial Services INC.
March 2016 - Present · 10 yrs 7 mos
UBS Financial Services INC.
March 2016 - Present · 10 yrs 7 mos
UBS Financial Services INC.Broker
March 2016 - Present · 10 yrs 7 mos
Previous Registrations
Wells Fargo Advisors, LLC
August 2008 - March 2016 · 7 yrs 7 mos
Wells Fargo Advisors, LLCBroker
August 2008 - March 2016 · 7 yrs 7 mos
Morgan Stanley & CO. Incorporated
April 2007 - September 2008 · 1 yr 5 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - September 2008 · 1 yr 5 mos
Morgan Stanley
September 2006 - April 2007 · 7 mos
Morgan Stanley Dw INC.Broker
December 2003 - April 2007 · 3 yrs 4 mos
Strong Capital Management INC
January 2003 - October 2003 · 9 mos
Strong Investments, INC.Broker
January 2003 - October 2003 · 9 mos
State Registrations19 states
AZCACOCTFLGAILINMIMNMONENVNYPAPRTNTXWI
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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