SC
SC

Sean Carter

16 Years of Experience
Mt. Laurel, NJ
1 DisclosureBroker

Sean Carter is a registered investment advisor at UBS Financial Services INC., based in Mt. Laurel, NJ, with 16 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

501 Fellowship Road, Mt. Laurel, NJ, 08054

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History

Regulatory History (1)
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Customer Dispute
November 2024
Denied
Employment History
Current Registrations
UBS Financial Services INC.
September 2012 - Present · 13 yrs 8 mos
UBS Financial Services INC.
September 2012 - Present · 13 yrs 8 mos
UBS Financial Services INC.Broker
September 2012 - Present · 13 yrs 8 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
December 2009 - September 2012 · 2 yrs 9 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
September 2009 - September 2012 · 3 yrs
Pruco Securities, LLC.Broker
May 2009 - August 2009 · 3 mos
State Registrations25 states
AKAZCACOCTDCDEFLGAILKYMAMDMINCNJNYOHPASCTXUTVAVTWA
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.