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Steven Westerman

UBS Financial Services INC.
21 Years of Experience
Los Angeles, CA
1 DisclosureBroker
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Steven Westerman is a registered investment advisor at UBS Financial Services INC., based in Los Angeles, CA, with 21 years of industry experience. Steven 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

2000 Avenue of the Stars, 12th Floor South, Los Angeles, CA, 90067

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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
December 2022
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Steven is a board member for Hillel Hebrew Academy, a religious non-profit day school, where he helps with fundraising, asset allocation, and promoting school activities, dedicating about 10-20% of his time. He also serves as a board member for Bounce Athletics Corp and Ten Toes Down, both retail and apparel companies, providing general advising to the founders.

Employment History
Current Registrations
UBS Financial Services INC.
January 2009 - Present · 17 yrs 9 mos
UBS Financial Services INC.Broker
January 2009 - Present · 17 yrs 9 mos
Previous Registrations
Credit Suisse Securities (USA) LLC
February 2005 - February 2009 · 4 yrs
Credit Suisse Securities (USA) LLCBroker
December 2004 - February 2009 · 4 yrs 2 mos
State Registrations42 states
AZCACOCTDCDEFLGAIDILINKSLAMAMDMEMIMNMOMSMTNCNHNJNMNVNYOHOKORPAPRRISDTNTXUTVAVTWAWIWY
AdvisorBrokerBoth

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Exams
No exam information available for this advisor.
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