WB
WB
Warren Brooks
2 Years of Experience
Charlotte, NC
2 DisclosuresBroker
Warren Brooks is a registered investment advisor at UBS Financial Services INC., based in Charlotte, NC, with 2 years of industry experience. Warren 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
11325 North Community House Road, Suite 600, Charlotte, NC, 28277
Get directionsHistory
Regulatory History (2)
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Financial
August 2024Final
Financial
July 2020Final
Employment History
Current Registrations
UBS Financial Services INC.
August 2025 - Present · 1 yr 2 mos
UBS Financial Services INC.Broker
August 2025 - Present · 1 yr 2 mos
Previous Registrations
Morgan Stanley
August 2024 - February 2025 · 6 mos
Morgan StanleyBroker
April 2024 - February 2025 · 10 mos
Wells Fargo Clearing Services, LLCBroker
July 2023 - October 2023 · 3 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
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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