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Philip Topacio
22 Years of Experience
San Francisco, CA
2 DisclosuresBroker
Philip Topacio is a registered investment advisor at UBS Financial Services INC., based in San Francisco, CA, with 22 years of industry experience. Philip 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
555 California St, 34th, 36th & 46th Floors, San Francisco, CA, 94104
Get directionsHistory
Regulatory History (2)
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Criminal
February 2000Final Disposition
Criminal
September 1997Final Disposition
Employment History
Current Registrations
UBS Financial Services INC.
January 2016 - Present · 10 yrs 9 mos
UBS Financial Services INC.Broker
January 2016 - Present · 10 yrs 9 mos
Previous Registrations
Wells Fargo Advisors, LLC
October 2012 - January 2016 · 3 yrs 3 mos
Wells Fargo Advisors, LLCBroker
September 2012 - January 2016 · 3 yrs 4 mos
Morgan Stanley
June 2010 - October 2012 · 2 yrs 4 mos
Morgan Stanley Smith BarneyBroker
June 2010 - October 2012 · 2 yrs 4 mos
UBS Financial Services INC.
October 2007 - May 2010 · 2 yrs 7 mos
UBS Financial Services INC.Broker
May 2004 - May 2010 · 6 yrs
State Registrations52 states
AKALAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin 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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