Amalia
Rockafellow

Ubs Financial Services Inc

CRD#2998350
Investment Advisor
in Bonita Springs, FL
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About this Advisor

Amalia Rockafellow is a financial advisor who works out of Bonita Springs, Florida, who has been in the advisory business for 13 years. Rockafellow works at Ubs Financial Services Inc. During their career, the advisor has held roles at Merrill Lynch, Pierce, Fenner & Smith Inc, Hightower Advisors, LLC, Hightower Securities, LLC and Ubs Financial Services Inc. Rockafellow has Series 63 and Series 65 licenses, certifying them as both a securities agent and an investment advisor representative, and is approved to advise clients in Florida. Ubs Financial Services Inc is an advisory company operating out of Bonita Springs, Florida. The firm has offices in 369 locations and a total of 13,402 people on staff. It handles $496 billion in assets under management across its 922,927 client accounts, making it one of the largest investment advisory firms in the United States by assets under management. The firm advises 4,543 charities and foundations. Of its 922,927 accounts, 52% are held by high-net-worth individuals who have greater than $1 million in assets. Ubs Financial Services Inc performs a number of services, including 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 for financial advisory services typically are based on which service is offered. However, fees charged by Ubs Financial Services Inc most likely include asset-based, hourly, fixed, commission-based and other fees.

Certifications and Registrations

Series 63, Series 65

Years of Experience

13 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

Disclosures

No

Office Location

8000 Health Care Center Blvd.
Bonita Springs, FL 34135

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Ubs Financial Services Inc Brokerage Details

Total Assets Under Management

$496,034,949,376

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

13,335

FL Average: 92
Total Number of Accounts

957,738

FL Average: 6,978
Average Account Size

$517,923

FL Average: $1,450,417

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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

Amalia Rockafellow Work History

Amalia has 13 years of experience.

2017 - Present (2 years)

Ubs Financial Services Inc

2012 - 2017 (5 years)

Hightower Advisors, LLC

2012 - 2017 (5 years)

Hightower Securities, LLC

2005 - 2012 (7 years)

Merrill Lynch, Pierce, Fenner & Smith Inc

Disclosures

Amalia Rockafellow has no disclosures.

Please visit their SEC profile for more details.

This content was compiled from the SEC and FINRA.

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