HW
HW
Howard Woo
23 Years of Experience
Irvine, CA
1 DisclosureBroker
Howard Woo is a registered investment advisor at UBS Financial Services INC., based in Irvine, CA, with 23 years of industry experience. Howard 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
200 Spectrum Center Drive Suite 1800, Irvine, CA, 92618
Get directionsHistory
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
October 2022Settled
Employment History
Current Registrations
UBS Financial Services INC.Broker
September 2022 - Present · 4 yrs 1 mo
UBS Financial Services INC.
September 2022 - Present · 4 yrs 1 mo
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
July 2009 - September 2022 · 13 yrs 2 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
July 2009 - September 2022 · 13 yrs 2 mos
Morgan Stanley Smith BarneyBroker
June 2009 - July 2009 · 1 mo
Morgan Stanley Smith Barney LLC
June 2009 - July 2009 · 1 mo
Citigroup Global Markets INC.
May 2004 - June 2009 · 5 yrs 1 mo
Citigroup Global Markets INC.Broker
February 2004 - June 2009 · 5 yrs 4 mos
Wells Fargo Investments, LLCBroker
January 2003 - March 2004 · 1 yr 2 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
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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