TrueAdvisor
TrueAdvisor
JS
JS

Joseph Schirripa

UBS Financial Services INC.
51 Years of Experience
Beverly Hills, CA
6 DisclosuresBroker
View SEC Summary
View SEC Summary

Joseph Schirripa is a registered investment advisor at UBS Financial Services INC., based in Beverly Hills, CA, with 51 years of industry experience. Joseph 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

131 South Rodeo Drive, Suite 300, Beverly Hills, CA, 90212

Get directions

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
June 2010
Settled
Customer Dispute
November 2008
Denied
Customer Dispute
September 2008
Denied
Customer Dispute
June 2008
Settled
Customer Dispute
February 2004
Denied
Customer Dispute
May 2002
Withdrawn
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Joseph is a board member at Pepperdine University and previously advised the CEO of Adoptions United. He also advises the managing team of Young Catholic Professionals and handles investments for The Americo Family Trust.

Employment History
Current Registrations
UBS Financial Services INC.
March 2001 - Present · 25 yrs 7 mos
UBS Financial Services INC.Broker
March 2001 - Present · 25 yrs 7 mos
Previous Registrations
Salomon Smith Barney INC.Broker
July 1993 - March 2001 · 7 yrs 8 mos
Lehman Brothers INC.Broker
November 1977 - July 1993 · 15 yrs 8 mos
Shearson Hayden Stone INC.Broker
November 1976 - November 1977 · 1 yr
Shearson Hayden Stone INC.Broker
March 1976 - November 1976 · 8 mos
Samuel B. Franklin and Company, INC.Broker
November 1975 - February 1976 · 3 mos
Benchmark Securities, INC. CO.Broker
October 1975 - October 1976 · 1 yr
State Registrations48 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMTNCNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTWAWI
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.
More Advisors
More financial advisors in Beverly Hills, CA →All financial advisors in California →