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Ozzie Bauer

50 Years of Experience
Houston, TX
2 DisclosuresBroker

Ozzie Bauer is a registered investment advisor at UBS Financial Services INC., based in Houston, TX, with 50 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Retirement Planning, and 1 more. Their firm serves 1,134,581 clients with $810B in assets under management.

Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9502 advisors
IM Fee
Planning only
Assets Under Management
$808.8B

Fee Structure

UBS Financial Services Inc. offers financial planning services for a fee, with costs ranging from $500 to $50,000, though most clients pay between $1,000 and $10,000. Fees exceeding $50,000 but not more than $100,000 may be permitted for complex situations involving relationships with a net worth of $100 million or more. The fees are negotiable and may vary based on the range of services selected, the scope of the engagement, the complexity of the services, the nature and amount of client assets involved, and the financial advisor's business model.

One-Time Plan:$500 - $50,000
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Location

750 Town and Country Blvd, Suite 400, Houston, TX, 77024

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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
December 2004
Settled
Employment Separation After Allegations
August 1988
Other Business Activities

Ozzie is a partner in Bauer FLP and Bauer 2012 LLC, both partnerships focused on investments. His duties involve investment decisions.

Employment History
Current Registrations
UBS Financial Services INC.
April 2009 - Present · 17 yrs 1 mo
UBS Financial Services INC.Broker
April 2009 - Present · 17 yrs 1 mo
Previous Registrations
Citigroup Global Markets INC.
September 1988 - April 2009 · 20 yrs 7 mos
Citigroup Global Markets INC.Broker
August 1988 - April 2009 · 20 yrs 8 mos
Rotan Mosle INC.Broker
April 1985 - September 1988 · 3 yrs 5 mos
E. F. Hutton & Company INCBroker
June 1980 - May 1985 · 4 yrs 11 mos
Bache Halsey Stuart Shields IncorporatedBroker
September 1977 - July 1980 · 2 yrs 10 mos
Bache Halsey Stuart INC.Broker
August 1976 - September 1977 · 1 yr 1 mo
Bache & CO IncorporatedBroker
February 1976 - August 1976 · 6 mos
Bache & CO., IncorporatedBroker
June 1975 - February 1976 · 8 mos
State Registrations19 states
ARCACOFLINLAMIMTNCNHNYOHPATNTXUTVAWAWI
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.