William SchoffCRD Number: 1048847
Current Firm: Ubs Financial Services Inc.
William Schoff (CRD# 1048847) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Rochester, NY and has over 33 years of experience in the finance industry.
Wall Street Financial Group, Inc.
American Portfolios Advisors, Inc.
Sage, Rutty & Company, Inc.
|Ubs Financial Services Inc.||Rochester, NY||Feb 2009 - Current||9|
|Citigroup Global Markets Inc.||Rochester, NY||Dec 1995 - Feb 2009||13|
|#ia Prudential-bache Securities, Inc.||Rochester, NY||Dec 1986 - Oct 2007||20|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Feb 1985|
|S65||NASAA Investment Advisors Law Examination||Jan 1994|
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