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John Saunders

32 Years of Experience
Richmond, VA
6 DisclosuresBroker

John Saunders is a registered investment advisor at UBS Financial Services INC., based in Richmond, VA, with 32 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
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9502 advisors
IM Fee
Planning only
Assets Under Management
$808.8B

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.

One-Time Plan:$500 - $50,000
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Location

951 East Byrd Street, Richmond, VA, 23219

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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
January 2024
Denied
Customer Dispute
May 2023
Pending
Customer Dispute
June 2017
Settled
Customer Dispute
July 2014
Settled
Customer Dispute
February 2012
Settled
Customer Dispute
August 2009
Denied
Employment History
Current Registrations
UBS Financial Services INC.
May 2007 - Present · 19 yrs
UBS Financial Services INC.
May 2007 - Present · 19 yrs
UBS Financial Services INC.Broker
May 2007 - Present · 19 yrs
Previous Registrations
Citigroup Global Markets INC.Broker
February 2006 - May 2007 · 1 yr 3 mos
Citigroup Global Markets INC.
February 2006 - May 2007 · 1 yr 3 mos
Legg Mason Wood Walker INC
April 2004 - February 2006 · 1 yr 10 mos
Legg Mason Wood Walker, IncorporatedBroker
April 2004 - February 2006 · 1 yr 10 mos
T. Rowe Price Investment Services, INC.Broker
October 2001 - December 2002 · 1 yr 2 mos
Pruco Securities CorporationBroker
October 1998 - April 2001 · 2 yrs 6 mos
Fidelity Distributors CorporationBroker
July 1984 - July 1989 · 5 yrs
Fidelity Distributors CorporationBroker
August 1979 - October 1981 · 2 yrs 2 mos
State Registrations41 states
ALAZCACOCTDCDEFLGAHIIDILINKSKYLAMAMDMEMIMNMTNCNDNJNMNVNYOHOKORPASCSDTNTXVAVTWAWIWV
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.