Alex Ortiz is a CFP-designated registered investment advisor at UBS Financial Services INC., based in New York, NY, with 18 years of industry experience. Alex 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
Firm Size
IM Fee
Assets Under Management
Fee Structure
- 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.
Location
1285 Avenue of the Americas, New York, NY, 10019
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Alex owns a rental property in Yonkers, NY and collects rental income. This activity requires minimal time and is not investment-related.
Employment History
Current Registrations
UBS Financial Services INC.
UBS Financial Services INC.
UBS Financial Services INC.Broker
Previous Registrations
Fidelity Personal and Workplace Advisors
Fidelity Brokerage Services LLCBroker
Wells Fargo Advisors, LLCBroker
J.P. Morgan Securities LLCBroker
Chase Investment Services CORP.Broker
State Registrations53 states
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
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