CR
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Charles Roberts
18 Years of Experience
Norfolk, VA
1 DisclosureBroker
Charles Roberts is a registered investment advisor at UBS Financial Services INC., based in Norfolk, VA, with 18 years of industry experience. Charles 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
9366 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
Wells Fargo Center/ 440 Monticello Avenue, Suite 2000, Norfolk, VA, 23510
Get directionsHistory
Regulatory History (1)
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Customer Dispute
December 2009Denied
Employment History
Current Registrations
UBS Financial Services INC.
May 2015 - Present · 11 yrs 5 mos
UBS Financial Services INC.
May 2015 - Present · 11 yrs 5 mos
UBS Financial Services INC.Broker
May 2015 - Present · 11 yrs 5 mos
Previous Registrations
Strategic Advisers, INC.
May 2011 - May 2015 · 4 yrs
Fidelity Brokerage Services LLCBroker
May 2008 - May 2015 · 7 yrs
State Registrations30 states
ALARAZCACOFLGAHIILKSKYLAMAMDMINCNHNJNYOHOKPASCTNTXVAVTWAWIWV
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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