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Joseph Currier

UBS Financial Services INC.
45 Years of Experience
Crested Butte, CO
5 DisclosuresBroker
View SEC Summary
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Joseph Currier is a registered investment advisor at UBS Financial Services INC., based in Crested Butte, CO, with 45 years of industry experience. Joseph 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

405 3rd Street, Crested Butte, CO, 81224

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History

Regulatory History (5)
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
March 1998
Denied
Regulatory
October 1992
Final
Customer Dispute
October 1986
Settled
Customer Dispute
January 1986
Settled
Criminal
October 1970
Final Disposition
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Joseph was a member of the Board of Directors for Crested Butte Land Trust from 2006 to 2012, performing typical non-profit board duties.

Employment History
Current Registrations
UBS Financial Services INC.
June 2001 - Present · 25 yrs 4 mos
UBS Financial Services INC.Broker
June 2001 - Present · 25 yrs 4 mos
UBS Financial Services INC.
June 2001 - Present · 25 yrs 4 mos
Previous Registrations
J.P. Morgan Securities INC.Broker
February 2000 - June 2001 · 1 yr 4 mos
Hambrecht & Quist LLCBroker
July 1999 - February 2000 · 7 mos
Bt Alex. Brown IncorporatedBroker
September 1997 - June 1999 · 1 yr 9 mos
Alex. Brown & Sons IncorporatedBroker
January 1993 - September 1997 · 4 yrs 8 mos
Lehman Brothers INC.Broker
February 1990 - December 1992 · 2 yrs 10 mos
Prudential-Bache Securities INC.Broker
August 1983 - March 1990 · 6 yrs 7 mos
Kidder, Peabody & CO. IncorporatedBroker
October 1982 - October 1983 · 1 yr
Quinn & CO., INC.Broker
January 1982 - October 1982 · 9 mos
Richey, Frankel & CompanyBroker
April 1981 - January 1982 · 9 mos
Drexel Burnham Lambert IncorporatedBroker
September 1980 - April 1981 · 7 mos
State Registrations6 states
CACOFLNHNYTX
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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