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Dan Lindstrom

UBS Financial Services INC.
45 Years of Experience
Omaha, NE
2 DisclosuresBroker
View SEC Summary
View SEC Summary

Dan Lindstrom is a registered investment advisor at UBS Financial Services INC., based in Omaha, NE, with 45 years of industry experience. Dan 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

13815 FNB Parkway Suite 300, Omaha, NE, 68154-5220

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History

Regulatory History (2)
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
June 2001
Denied
Customer Dispute
May 1986
Award / Judgment
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Dan is the owner of Shoe Dog LLC, investing in a Red Wing Shoe store. He acts as a resource to the General Manager of the stores, dedicating minimal time to this activity.

Employment History
Current Registrations
UBS Financial Services INC.
September 2010 - Present · 16 yrs 1 mo
UBS Financial Services INC.Broker
September 2010 - Present · 16 yrs 1 mo
Previous Registrations
Morgan Stanley Smith BarneyBroker
June 2009 - October 2010 · 1 yr 4 mos
Morgan Stanley Smith Barney LLC
June 2009 - October 2010 · 1 yr 4 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley & CO. Incorporated
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley
June 2004 - April 2007 · 2 yrs 10 mos
Morgan Stanley Dw INC.Broker
May 2004 - April 2007 · 2 yrs 11 mos
Piper Jaffray & CO.
September 1998 - June 2004 · 5 yrs 9 mos
Piper Jaffray & CO.Broker
September 1994 - June 2004 · 9 yrs 9 mos
Norwest Investment Services, INC.Broker
March 1987 - September 1994 · 7 yrs 6 mos
Securities Corporation of IowaBroker
March 1985 - January 1987 · 1 yr 10 mos
Blunt Ellis & Loewi IncorporatedBroker
February 1984 - January 1985 · 11 mos
Paine, Webber, Jackson & Curtis INC.Broker
May 1981 - April 1984 · 2 yrs 11 mos
First Mid-America INC.Broker
May 1981 - December 1983 · 2 yrs 7 mos
State Registrations43 states
AKARAZCACOCTDEFLGAHIIAIDILINKSKYLAMDMEMIMNMOMSMTNCNENHNJNMNVNYOHOKPASCSDTNTXUTVAWAWIWY
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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