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Joshua Steuerman
19 Years of Experience
New York, NY
5 DisclosuresBroker
Joshua Steuerman is a registered investment advisor at UBS Financial Services INC., based in New York, NY, with 19 years of industry experience. Joshua 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
9356 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
299 Park Avenue, 8th,9th and 11th floor, New York, NY, 10171
Get directionsHistory
Regulatory History (5)
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
May 2020Final
Financial
January 2020Final
Financial
June 2019Final
Financial
July 2017Final
Financial
June 2017Final
Employment History
Current Registrations
UBS Financial Services INC.
September 2022 - Present · 4 yrs 1 mo
UBS Financial Services INC.Broker
September 2022 - Present · 4 yrs 1 mo
Previous Registrations
Wells Fargo Clearing Services, LLC
December 2015 - October 2022 · 6 yrs 10 mos
Wells Fargo Clearing Services, LLCBroker
February 2009 - October 2022 · 13 yrs 8 mos
Citigroup Global Markets INC.Broker
February 2007 - February 2009 · 2 yrs
State Registrations22 states
AZCACOCTDCDEFLGAIAILMAMDMNNCNHNJNYOHPASCTXVA
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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