Ozzie Bauer
Ozzie Bauer is a registered investment advisor at UBS Financial Services INC., based in Houston, TX, with 51 years of industry experience. Ozzie 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
Firm Size
IM Fee
Assets Under Management
Fee Structure
- 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.
Location
750 Town and Country Blvd, Suite 400, Houston, TX, 77024
Get directionsHistory
Regulatory History (2)
Customer Dispute
December 2004Employment Separation After Allegations
August 1988Other 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.
UBS Financial Services INC.Broker
Previous Registrations
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
Rotan Mosle INC.Broker
E. F. Hutton & Company INCBroker
Bache Halsey Stuart Shields IncorporatedBroker
Bache Halsey Stuart INC.Broker
Bache & CO IncorporatedBroker
Bache & CO., IncorporatedBroker
State Registrations21 states
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
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