LR
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Lorene Roccon

35 Years of Experience
Vero Beach, FL
1 DisclosureBroker

Lorene Roccon is a registered investment advisor at UBS Financial Services INC., based in Vero Beach, FL, with 35 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

Vero Beach, FL

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History

Regulatory History (1)
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Customer Dispute
January 2005
Denied
Employment History
Current Registrations
UBS Financial Services INC.
December 2019 - Present · 6 yrs 5 mos
UBS Financial Services INC.
November 2019 - Present · 6 yrs 6 mos
UBS Financial Services INC.Broker
November 2019 - Present · 6 yrs 6 mos
Previous Registrations
UBS Financial Services INC.Broker
January 2008 - October 2009 · 1 yr 9 mos
UBS Financial Services INC.
January 2008 - October 2009 · 1 yr 9 mos
UBS Financial Services INC.
March 2001 - January 2007 · 5 yrs 10 mos
UBS Financial Services INC.Broker
March 2001 - January 2007 · 5 yrs 10 mos
Linsco/private Ledger CORP.Broker
December 1993 - March 2001 · 7 yrs 3 mos
Painewebber IncorporatedBroker
December 1991 - December 1993 · 2 yrs
U.S. Securities, INC.Broker
September 1988 - November 1991 · 3 yrs 2 mos
Painewebber IncorporatedBroker
December 1985 - September 1988 · 2 yrs 9 mos
E. F. Hutton & Company INCBroker
December 1979 - December 1985 · 6 yrs
State Registrations9 states
CACOCTFLGAMAMEPARI
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.