GH
GH

Grady Howard

19 Years of Experience
Charlotte, NC
1 DisclosureBroker

Grady Howard is a registered investment advisor at UBS Financial Services INC., based in Charlotte, NC, with 19 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
Loading...

Location

13024 Ballantyne Corporate Plaza, Suite 650, Charlotte, NC, 28277

Get directions

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
August 2009
Denied
Other Business Activities

Grady is a director for the Charlotte Kiwanis Club, a charity organization. This activity is not investment-related and requires minimal time.

Employment History
Current Registrations
UBS Financial Services INC.
December 2020 - Present · 5 yrs 5 mos
UBS Financial Services INC.Broker
November 2020 - Present · 5 yrs 6 mos
Previous Registrations
UBS Financial Services INC.
November 2020 - December 2020 · 1 mo
Morgan StanleyBroker
April 2010 - December 2020 · 10 yrs 8 mos
Morgan Stanley
April 2010 - December 2020 · 10 yrs 8 mos
UBS Financial Services INC.
November 2007 - April 2010 · 2 yrs 5 mos
UBS Financial Services INC.Broker
November 2007 - April 2010 · 2 yrs 5 mos
Ameriprise Financial Services, INC.Broker
June 2006 - November 2007 · 1 yr 5 mos
Ameriprise Financial Services, INC.
June 2006 - November 2007 · 1 yr 5 mos
State Registrations20 states
CACOCTFLGAHIIAMAMDNCNDNJNYOHOKRISCTNTXVA
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.
Grady Howard - Financial Advisor | TrueAdvisor