DW
DW

Dwight West

43 Years of Experience
Denver, CO
6 DisclosuresBroker

Dwight West is a registered investment advisor at UBS Financial Services INC., based in Denver, CO, with 43 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Retirement Planning, and 1 more. Their firm serves 1,134,581 clients with $810B in assets under management.

Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9502 advisors
IM Fee
Planning only
Assets Under Management
$808.8B

Fee Structure

UBS Financial Services Inc. offers financial planning services for a fee, with costs ranging from $500 to $50,000, though most clients pay between $1,000 and $10,000. Fees exceeding $50,000 but not more than $100,000 may be permitted for complex situations involving relationships with a net worth of $100 million or more. The fees are negotiable and may vary based on the range of services selected, the scope of the engagement, the complexity of the services, the nature and amount of client assets involved, and the financial advisor's business model.

One-Time Plan:$500 - $50,000
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Location

4600 S. Ulster Street -Suite 700, Metro Point One, Denver, CO, 80202

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History

Regulatory History (6)
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
March 2019
Denied
Customer Dispute
May 2018
Settled
Customer Dispute
December 1999
Settled
Customer Dispute
September 1999
Denied
Customer Dispute
February 1993
Settled
Customer Dispute
October 1986
Settled
Employment History
Current Registrations
UBS Financial Services INC.
February 2009 - Present · 17 yrs 5 mos
UBS Financial Services INC.
February 2009 - Present · 17 yrs 5 mos
UBS Financial Services INC.Broker
February 2009 - Present · 17 yrs 5 mos
Previous Registrations
Morgan Stanley & CO. Incorporated
April 2007 - February 2009 · 1 yr 10 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - February 2009 · 1 yr 10 mos
Morgan Stanley
February 1997 - April 2007 · 10 yrs 2 mos
Morgan Stanley Dw INC.Broker
February 1997 - April 2007 · 10 yrs 2 mos
Painewebber IncorporatedBroker
February 1990 - January 1997 · 6 yrs 11 mos
Shearson Lehman Hutton INC.Broker
May 1988 - February 1990 · 1 yr 9 mos
Raymond James & Associates, INC.Broker
April 1988 - May 1988 · 1 mo
Interstate Securities CorporationBroker
March 1983 - February 1988 · 4 yrs 11 mos
Drexel Burnham Lambert IncorporatedBroker
January 1982 - March 1983 · 1 yr 2 mos
State Registrations8 states
ALCACOGALANCTXWA
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.
Dwight West - Financial Advisor | TrueAdvisor