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Barry West

UBS Financial Services INC.
49 Years of Experience
New York, NY
10 DisclosuresBroker
View SEC Summary
View SEC Summary

Barry West is a registered investment advisor at UBS Financial Services INC., based in New York, NY, with 49 years of industry experience. Barry 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
9356 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

1285 Avenue of the Americas, Floor 15 thru 18, New York, NY, 10019

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History

Regulatory History (10)
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
February 2011
Denied
Customer Dispute
November 2008
Denied
Customer Dispute
December 1992
Award / Judgment
Customer Dispute
March 1991
Settled
Regulatory
November 1990
Final
Employment Separation After Allegations
December 1987
Customer Dispute
August 1987
Settled
Employment Separation After Allegations
December 1986
Employment Separation After Allegations
June 1986
Customer Dispute
January 1980
Award / Judgment
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Barry is a member of the board of directors for 190 East 190 Corp, a real estate company, and manages the building. He started this role in 2010.

Employment History
Current Registrations
UBS Financial Services INC.
October 2010 - Present · 16 yrs
UBS Financial Services INC.Broker
October 2010 - Present · 16 yrs
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
July 2010 - October 2010 · 3 mos
Merrill Lynch Pierce Fenner & Smith INC.
October 2005 - October 2005 · 0 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
May 2000 - October 2010 · 10 yrs 5 mos
Prudential Securities IncorporatedBroker
April 1990 - April 2000 · 10 yrs
Cowen & CO.Broker
February 1988 - April 1990 · 2 yrs 2 mos
Moseley Securities CorporationBroker
January 1987 - December 1987 · 11 mos
Beuret & Company, LTD.Broker
May 1986 - January 1987 · 8 mos
Ladenburg, Thalmann & CO., INC.Broker
October 1984 - June 1986 · 1 yr 8 mos
Smith Barney, Harris Upham & CO., IncorporatedBroker
February 1984 - November 1984 · 9 mos
A.G. Becker Paribas IncorporatedBroker
April 1982 - January 1984 · 1 yr 9 mos
Bear, Stearns & CO.Broker
December 1981 - April 1982 · 4 mos
A. G. Becker IncorporatedBroker
March 1980 - November 1981 · 1 yr 8 mos
Oppenheimer & CO., INC.Broker
July 1978 - April 1980 · 1 yr 9 mos
E. F. Hutton & Company INCBroker
September 1976 - August 1978 · 1 yr 11 mos
State Registrations10 states
CACTFLMAMNNJNYSCTXVT
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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