TrueAdvisor
TrueAdvisor
MM
MM

Michael Mildrum

UBS Financial Services INC.
10 Years of Experience
Westport, CT
1 DisclosureBroker
View SEC Summary
View SEC Summary

Michael Mildrum is a registered investment advisor at UBS Financial Services INC., based in Westport, CT, with 10 years of industry experience. Michael 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.

UBS Financial Services INC.
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
View Full SEC Brochure

Location

8 Wright Street, Westport, CT, 06880-4701

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
May 2024
Closed-No Action
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Michael owns a single-family real estate property since January 2021. This activity is not investment-related.

Employment History
Current Registrations
UBS Financial Services INC.Broker
August 2026 - Present · 2 mos
UBS Financial Services INC.
August 2026 - Present · 2 mos
Previous Registrations
Ameriprise Financial Services, LLC
January 2025 - September 2026 · 1 yr 8 mos
Ameriprise Financial Services, LLCBroker
January 2025 - September 2026 · 1 yr 8 mos
Northwestern Mutual Investment Services,llc
March 2019 - February 2025 · 5 yrs 11 mos
Northwestern Mutual Investment Services, LLCBroker
March 2019 - February 2025 · 5 yrs 11 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
August 2016 - March 2019 · 2 yrs 7 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
June 2016 - March 2019 · 2 yrs 9 mos
State Registrations22 states
AZCACTFLGAMAMDMEMNNCNHNJNYOHPARITNTXUTVAWAWI
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.
More Advisors
More financial advisors in Westport, CT →All financial advisors in Connecticut →