JC
JC
Joseph Covey
21 Years of Experience
Seattle, WA
1 DisclosureBroker
Joseph Covey is a registered investment advisor at UBS Financial Services INC., based in Seattle, WA, with 21 years of industry experience. Joseph 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
925 Fourth Avenue, 31st & 32nd Floor, Seattle, WA, 98104
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
July 2019Denied
Employment History
Current Registrations
UBS Financial Services INC.
August 2012 - Present · 14 yrs 2 mos
UBS Financial Services INC.
August 2012 - Present · 14 yrs 2 mos
UBS Financial Services INC.Broker
August 2012 - Present · 14 yrs 2 mos
Previous Registrations
J.P. Morgan Securities LLCBroker
October 2008 - September 2012 · 3 yrs 11 mos
J.P. Morgan Securities LLC
October 2008 - May 2012 · 3 yrs 7 mos
J.P. Morgan Securities INC.Broker
June 2007 - October 2008 · 1 yr 4 mos
J. P. Morgan Securities INC.
June 2007 - October 2008 · 1 yr 4 mos
Chase Investment Services CORP.
January 2006 - July 2007 · 1 yr 6 mos
Chase Investment Services CORP.Broker
January 2006 - July 2007 · 1 yr 6 mos
Ids Life Insurance CompanyBroker
June 2005 - December 2005 · 6 mos
Ameriprise Financial Services, INC.
June 2005 - December 2005 · 6 mos
Ameriprise Financial Services, INC.Broker
June 2005 - December 2005 · 6 mos
State Registrations39 states
AKARAZCACOCTDCFLGAHIIDILKSKYMAMDMEMIMNMOMSMTNCNDNENJNMNVNYOHORPASDTNTXUTVAWAWI
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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