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Charles Lawson

18 Years of Experience
San Jose, CA
3 DisclosuresBroker

Charles Lawson is a registered investment advisor at UBS Financial Services INC., based in San Jose, CA, with 18 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

355 Santana Row, Suite 2050, San Jose, CA, 95128

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History

Regulatory History (3)
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
December 2022
Settled
Customer Dispute
June 2020
Settled
Criminal
May 1998
Final Disposition
Employment History
Current Registrations
UBS Financial Services INC.Broker
October 2010 - Present · 15 yrs 7 mos
UBS Financial Services INC.
October 2010 - Present · 15 yrs 7 mos
UBS Financial Services INC.
October 2010 - Present · 15 yrs 7 mos
Previous Registrations
Edward Jones
February 2008 - September 2010 · 2 yrs 7 mos
Edward JonesBroker
January 2008 - September 2010 · 2 yrs 8 mos
State Registrations24 states
AKCACOCTDEFLGAHIIDILINKYLAMEMIMONJNMNVORPASCTXWA
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.