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Gianna Drake-Kerrison

UBS Financial Services INC.
43 Years of Experience
Newport Beach, CA
1 DisclosureBroker
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Gianna Drake-Kerrison is a registered investment advisor at UBS Financial Services INC., based in Newport Beach, CA, with 43 years of industry experience. Gianna is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, High Net Worth, Insurance Planning, and 3 more. Their firm serves 1,144,588 clients with $920B in assets under management.

UBS Financial Services INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9366 advisors
IM Fee
Planning only
Assets Under Management
$915.8B

Fee Structure

Investment management only (planning not offered)
  • Customized Financial Planning Services — Typically ranges from $1,000 to $10,000, with a general range of $500 to $50,000 depending on the scope and complexity of the engagement. Fees up to $100,000 may be permitted for highly complex situations involving relationships with a net worth of $100 million or more.
One-Time Plan:$500 - $50,000
View Full SEC Brochure

Location

888 San Clemente Drive, Newport Beach, CA, 92660

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History

Regulatory History (1)
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 2003
Denied
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
UBS Financial Services INC.Broker
March 2011 - Present · 15 yrs 7 mos
UBS Financial Services INC.
March 2011 - Present · 15 yrs 7 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
August 2003 - March 2011 · 7 yrs 7 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
August 2003 - March 2011 · 7 yrs 7 mos
Citigroup Global Markets INC.
July 1997 - July 2003 · 6 yrs
Citigroup Global Markets INC.Broker
May 1989 - July 2003 · 14 yrs 2 mos
Kidder, Peabody & CO. IncorporatedBroker
November 1986 - June 1989 · 2 yrs 7 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
May 1983 - October 1986 · 3 yrs 5 mos
State Registrations18 states
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AdvisorBrokerBoth

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Exams
No exam information available for this advisor.
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