Terry AllenCRD Number: 1302188
Current Firm: Ubs Financial Services Inc.
Terry Allen (CRD# 1302188) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Eugene, OR and has over 32 years of experience in the finance industry.
Kms Financial Services, Inc.
1st Global Advisors Inc.
Sapient Private Wealth Management, LLC
|Ubs Financial Services Inc.||Eugene, OR||Nov 2015 - Current||1|
|Morgan Stanley Private Bank, National Association||New York, NY||Jan 2015 - Nov 2015||< 1|
|Morgan Stanley Smith Barney||Eugene, OR||Jun 2009 - Nov 2015||6|
|Morgan Stanley & Co Inc.||Eugene, OR||Mar 2009 - Jun 2009||< 1|
|Merrill Lynch, Pierce, Fenner & Smith Incorporated||Eugene, OR||Jul 1984 - Mar 2009||24|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Oct 1984|
|S65||NASAA Investment Advisors Law Examination||Oct 1993|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management358,253MILLIONS
Total Number of Accounts860,383ACCOUNTS
Average Account Value$416,388
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters
- Security ratings or pricing services
- Educational seminars/workshops
AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV