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Allan Yarkin

UBS Financial Services INC.
51 Years of Experience
Hallandale Beach, FL
6 DisclosuresBroker
View SEC Summary
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Allan Yarkin is a registered investment advisor at UBS Financial Services INC., based in Hallandale Beach, FL, with 51 years of industry experience. Allan 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

1010 S Federal Highway, Suite 2601, Hallandale Beach, FL, 33009

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History

Regulatory History (6)
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
May 2012
Settled
Customer Dispute
April 2008
Closed-No Action
Customer Dispute
August 2001
Withdrawn
Customer Dispute
October 1998
Denied
Customer Dispute
April 1991
Award / Judgment
Customer Dispute
February 1991
Award / Judgment
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Allan is a partner in an LLC holding condo property and serves on the investment committee for the Greater Miami Jewish Federation and the ICA museum Miami. These activities involve reviewing investment recommendations and portfolio performance, taking minimal time.

Employment History
Current Registrations
UBS Financial Services INC.
February 2013 - Present · 13 yrs 8 mos
UBS Financial Services INC.
February 2013 - Present · 13 yrs 8 mos
UBS Financial Services INC.Broker
February 2013 - Present · 13 yrs 8 mos
Previous Registrations
Morgan StanleyBroker
June 2009 - March 2013 · 3 yrs 9 mos
Morgan Stanley
June 2009 - March 2013 · 3 yrs 9 mos
Citigroup Global Markets INC.
July 1993 - June 2009 · 15 yrs 11 mos
Citigroup Global Markets INC.Broker
July 1993 - June 2009 · 15 yrs 11 mos
Lehman Brothers INC.Broker
November 1979 - July 1993 · 13 yrs 8 mos
Loeb PartnersBroker
October 1978 - November 1979 · 1 yr 1 mo
Dean Witter Reynolds INC.Broker
February 1978 - November 1978 · 9 mos
Dean Witter & CO. IncorporatedBroker
July 1975 - February 1978 · 2 yrs 7 mos
State Registrations14 states
CACTFLGAILMANCNJNVNYPATXUTVA
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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