Ben
Tucker

Ubs Financial Services Inc

CRD#5190141
Investment Advisor
in Santa Barbara, CA

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About this Advisor

Ben Tucker is a financial advisor operating in Santa Barbara, California who has 8 years of industry experience. Tucker currently works for Ubs Financial Services Inc. During their career, the advisor has held roles at Merrill Lynch, Pierce, Fenner & Smith Inc, Bank Of America, Na and Ubs Financial Services Inc. Tucker holds a Series 66 license, qualifying them as both a securities agent and an investment advisor representative, and is registered to serve investors in California and Texas. Ubs Financial Services Inc is a registered investment company operating out of Weehawken, NJ. It has offices in 369 locations and a total of 13,059 people on staff. It controls $601 billion in total assets among its 1,077,471 customer accounts, placing it among the biggest financial advisory firms in the nation by assets under management. The firm advises 8,062 charities and foundations. Of its 1,077,471 customer accounts, 65% are associated with high-net-worth clients who have greater than $1 million in assets. Ubs Financial Services Inc has a number of services, such as financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients, pension consulting services, selection of other advisers, publication of newsletters, security rating services and educational seminars. Fees charged by financial advisors usually are based on which services the firm provides the client. Fees billed by Ubs Financial Services Inc most likely consist of any combination of asset-based, hourly, fixed, commission-based and other fees.

Certifications and Registrations

Series 66

Years Registered*

8 years

Services Offered

Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients, Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters, Security ratings or pricing services, Educational seminars/workshops

Fee Structure

Percentage of Assets, Hourly Charges, Fixed Fees, Commissions, Others

Office Location

222 E. Carrillo St., Suite 106
Santa Barbara, CA 93101

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Ubs Financial Services Inc Brokerage Details

Total Assets Under Management

$600,808,847,012

CA Average: $10,121,009,343
Total Number of Employees

13,059

CA Average: 92
Total Number of Accounts

1,077,471

CA Average: 6,978
Average Account Size

$557,610

CA Average: $1,450,417

Investment Advisory Services

  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses or institutional clients
  • Pension consulting services
  • Selection of other advisers
  • Publication of periodicals or newsletters
  • Security ratings or pricing services
  • Educational seminars/workshops

Ben Tucker Work History

Ben has been registered as a financial advisor for 8 years.*

2015 - Present (9 years)

Ubs Financial Services Inc

2009 - 2015 (6 years)

Bank Of America,Na

2006 - 2015 (9 years)

Merrill Lynch, Pierce, Fenner & Smith Inc

*The number of years registered in this profile is calculated by taking the year of an advisor's first active registration and subtracting it from the current year.

Disclosures

Please visit the SEC profile of Ben Tucker to learn whether or not they have any disclosures. It is important to do your due diligence when looking for an advisor.

Financial Advisors at Ubs Financial Services Inc

Janine Klein
Miami, FL
David Coleman
Short Hills, NJ
Karyn Laughrun
Asheville, NC
Donald Rosenthal
Short Hills, NJ
Eric Delagarza
Watertown, NY
Michael Tusing
Chesterfield, MO
Seth Ripple
Miami, FL
John Mccolskey
Atlanta, GA

The content in this profile was updated by SmartAsset on 4/16/2023. All advisor details come from publicly available data, and we cannot guarantee the accuracy of the content. We are unable to make individual profile updates. If you want your profile removed temporarily or permanently, please contact profile-compliance@smartasset.com.

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Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the certification marks CFP® and CERTIFIED FINANCIAL PLANNER™ in the United States, which it authorizes the use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.

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