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Ellice Papp

UBS Financial Services INC.
49 Years of Experience
Palo Alto, CA
1 DisclosureBroker
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Ellice Papp is a registered investment advisor at UBS Financial Services INC., based in Palo Alto, CA, with 49 years of industry experience. Ellice 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
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Location

305 Lytton Avenue, Palo Alto, CA, 94301

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History

Regulatory History (1)
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 1994
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Ellice is a member of the Board of Directors for TheatreWorks Silicon Valley, a non-profit organization that produces plays, since 2017. She is also a member of the board of directors for JE Papp, Inc., her husband's family commercial baking business, and her duties are signing tax returns and the ability to sign checks and other administrative duties in the event of an emergency.

Employment History
Current Registrations
UBS Financial Services INC.
August 2002 - Present · 24 yrs 2 mos
UBS Financial Services INC.
August 2002 - Present · 24 yrs 2 mos
UBS Financial Services INC.Broker
August 2002 - Present · 24 yrs 2 mos
Previous Registrations
Prudential Securities Incorporated
March 1998 - August 2002 · 4 yrs 5 mos
Prudential Securities IncorporatedBroker
December 1991 - August 2002 · 10 yrs 8 mos
Lehman Brothers INC.Broker
April 1988 - January 1992 · 3 yrs 9 mos
E. F. Hutton & Company INCBroker
December 1976 - April 1988 · 11 yrs 4 mos
State Registrations12 states
CACOFLMAMINJNYORPASCTNWA
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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