Loretta Finck is a registered investment advisor at UBS Financial Services INC., based in Stamford, CT, with 47 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Retirement Planning, and 1 more. Their firm serves 1,134,581 clients with $810B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Fee Structure
UBS Financial Services Inc. offers financial planning services for a fee, with costs ranging from $500 to $50,000, though most clients pay between $1,000 and $10,000. Fees exceeding $50,000 but not more than $100,000 may be permitted for complex situations involving relationships with a net worth of $100 million or more. The fees are negotiable and may vary based on the range of services selected, the scope of the engagement, the complexity of the services, the nature and amount of client assets involved, and the financial advisor's business model.
Location
600 Washington Blvd, 9th Floor, Stamford, CT, 06901
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Loretta is involved with several organizations, including the Sherman Historical Society, Quaker Hill Country Club, River Oaks of Sherman Association, and Northwest Connecticut Land Conservancy. Her roles range from endowment committee member to president of a homeowners association, and advisor to a land trust.
Employment History
Current Registrations
UBS Financial Services INC.
UBS Financial Services INC.Broker
Previous Registrations
Summit Securities Group LLCBroker
Gfi Securities LLCBroker
National Securities CorporationBroker
Wachovia Capital Markets, LLCBroker
Burlington Capital Markets INC.Broker
Tribeca Investments, L.L.C.Broker
Kellner, Dileo & CO.Broker
Muriel Siebert & CO., INC.Broker
Kaufmann, Alsberg & CO., INC.Broker
Walsh, Greenwood & CO.Broker
Donaldson, Lufkin & Jenrette Securities CorporationBroker
Donaldson, Lufkin & Jenrette Securities CorporationBroker
Donaldson, Lufkin & Jenrette Securities CorporationBroker
State Registrations32 states
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