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Henry Wagner

UBS Financial Services INC.
46 Years of Experience
San Francisco, CA
1 DisclosureBroker
View SEC Summary
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Henry Wagner is a registered investment advisor at UBS Financial Services INC., based in San Francisco, CA, with 46 years of industry experience. Henry 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

555 California St, 34th, 36th & 46th Floors, San Francisco, CA, 94104

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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
April 2003
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Henry is the trustee for three personal trusts, managing investments, distributing income, and paying bills. He also owns rental property, collecting rent and maintaining the property since June 2023.

Employment History
Current Registrations
UBS Financial Services INC.Broker
April 2011 - Present · 15 yrs 6 mos
UBS Financial Services INC.
April 2011 - Present · 15 yrs 6 mos
UBS Financial Services INC.
April 2011 - Present · 15 yrs 6 mos
Previous Registrations
Sterne Agee Investment Advisors, INC.
February 2011 - May 2011 · 3 mos
Sterne, Agee & Leach, INC.Broker
February 2011 - May 2011 · 3 mos
Nollenberger Capital Investment Advisory INC.
August 2008 - December 2010 · 2 yrs 4 mos
Nollenberger Capital Partners, INC.
November 2005 - February 2011 · 5 yrs 3 mos
Nollenberger Capital Partners INC.Broker
November 2005 - February 2011 · 5 yrs 3 mos
Morgan Stanley
July 1997 - November 2005 · 8 yrs 4 mos
Morgan Stanley Dw INC.Broker
December 1979 - November 2005 · 25 yrs 11 mos
State Registrations36 states
ALARAZCACOCTDCDEFLGAHIIAIDILMAMDMEMIMNMTNCNJNVNYOHORPASDTNTXUTVAVTWAWIWY
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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