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Karen Zeis

UBS Financial Services INC.
16 Years of Experience
Fort Myers, FL
1 DisclosureBroker
View SEC Summary
View SEC Summary

Karen Zeis is a registered investment advisor at UBS Financial Services INC., based in Fort Myers, FL, with 16 years of industry experience. Karen 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

12800 University Drive Suite 500, Fort Myers, FL, 33907

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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.
Financial
April 2021
Final
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
UBS Financial Services INC.
June 2012 - Present · 14 yrs 4 mos
UBS Financial Services INC.
May 2012 - Present · 14 yrs 5 mos
UBS Financial Services INC.Broker
May 2012 - Present · 14 yrs 5 mos
Previous Registrations
Morgan Stanley Smith BarneyBroker
February 2011 - March 2012 · 1 yr 1 mo
Raymond James & Associates, INC.Broker
November 2009 - February 2011 · 1 yr 3 mos
State Registrations6 states
FLILNJNYPATX
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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