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Hardy Winburn

UBS Financial Services INC.
24 Years of Experience
Little Rock, AR
1 DisclosureBroker
View SEC Summary
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Hardy Winburn is a registered investment advisor at UBS Financial Services INC., based in Little Rock, AR, with 24 years of industry experience. Hardy 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

10800 Financial Center Pkwy, 4th Floor, Little Rock, AR, 72211

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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
July 2009
Dismissed
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Other Business Activities

Hardy works as a musician, performing music since 1975. This activity requires minimal time.

Employment History
Current Registrations
UBS Financial Services INC.
April 2002 - Present · 24 yrs 6 mos
UBS Financial Services INC.
March 2002 - Present · 24 yrs 7 mos
UBS Financial Services INC.Broker
March 2002 - Present · 24 yrs 7 mos
State Registrations27 states
ALARCACOCTDCDEFLGAIDILINKYLAMDMOMSNCNJNYOHSDTNTXUTVAWV
AdvisorBrokerBoth

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Exams
No exam information available for this advisor.
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