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Stephen Egbert
57 Years of Experience
Portland, ME
2 DisclosuresBroker
Stephen Egbert is a registered investment advisor at UBS Financial Services INC., based in Portland, ME, with 57 years of industry experience. Stephen 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.
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
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Location
One City Center, 10th FLOOR, Portland, ME, 04101
Get directionsHistory
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
January 2002Pending
Regulatory
April 1986Final
Employment History
Current Registrations
UBS Financial Services INC.
June 2006 - Present · 20 yrs 4 mos
UBS Financial Services INC.Broker
March 2003 - Present · 23 yrs 7 mos
Previous Registrations
Prudential Securities IncorporatedBroker
August 1990 - April 2003 · 12 yrs 8 mos
Rotan Mosle INC.Broker
September 1980 - August 1990 · 9 yrs 11 mos
Dean Witter Reynolds INC.Broker
February 1978 - October 1980 · 2 yrs 8 mos
Dean Witter & CO. IncorporatedBroker
May 1973 - February 1978 · 4 yrs 9 mos
Dean Witter & CO. IncorporatedBroker
November 1968 - May 1973 · 4 yrs 6 mos
State Registrations25 states
AZCACOCTFLGAKSMAMDMENCNHNJNMNYORPARISCTNTXVAVTWAWY
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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