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Tonya Rice

17 Years of Experience
Salt Lake City, UT
1 DisclosureBroker

Tonya Rice is a registered investment advisor at UBS Financial Services INC., based in Salt Lake City, UT, with 17 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

95 State Street Suite 2210, Salt Lake City, UT, 84111

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History

Regulatory History (1)
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Customer Dispute
December 2019
Closed-No Action
Employment History
Current Registrations
UBS Financial Services INC.
October 2014 - Present · 11 yrs 7 mos
UBS Financial Services INC.
October 2014 - Present · 11 yrs 7 mos
UBS Financial Services INC.Broker
October 2014 - Present · 11 yrs 7 mos
Previous Registrations
Morgan Stanley
December 2013 - October 2014 · 10 mos
Morgan StanleyBroker
June 2009 - October 2014 · 5 yrs 4 mos
Morgan Stanley & CO. IncorporatedBroker
March 2009 - June 2009 · 3 mos
State Registrations15 states
ARAZCACOFLIDKSMNNVPASCTXUTWAWY
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.