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John Petrick

UBS Financial Services INC.
45 Years of Experience
San Mateo, CA
3 DisclosuresBroker
View SEC Summary
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John Petrick is a registered investment advisor at UBS Financial Services INC., based in San Mateo, CA, with 45 years of industry experience. John 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

400 S. El Camino Real, Suite 900, San Mateo, CA, 94402

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History

Regulatory History (3)
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
August 2009
Closed-No Action
Customer Dispute
April 2001
Settled
Customer Dispute
December 1999
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

John is a trustee for the Florence E Hardwick Trust since 2012. This requires minimal time.

Employment History
Current Registrations
UBS Financial Services INC.
July 1998 - Present · 28 yrs 3 mos
UBS Financial Services INC.Broker
May 1998 - Present · 28 yrs 5 mos
UBS Financial Services INC.
May 1998 - Present · 28 yrs 5 mos
Previous Registrations
Prudential Securities IncorporatedBroker
August 1989 - June 1998 · 8 yrs 10 mos
Thomson Mckinnon Securities INC.Broker
February 1981 - August 1989 · 8 yrs 6 mos
State Registrations17 states
CACOFLGAIDILLAMAMIMSNVNYORSCTXVAWA
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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