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Jonathan Galli

UBS Financial Services INC.
43 Years of Experience
New York, NY
2 DisclosuresBroker
View SEC Summary
View SEC Summary

Jonathan Galli is a registered investment advisor at UBS Financial Services INC., based in New York, NY, with 43 years of industry experience. Jonathan 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

299 Park Avenue, 8TH, 9TH, & 11TH Floors, New York, NY, 10171

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History

Regulatory History (2)
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
October 1997
Withdrawn
Customer Dispute
September 1990
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Jonathan is involved with the Winchester Town Meeting at the Town Hall and is the Capital Campaign Chair at the First Congregational Church. These activities occur during non-working hours.

Employment History
Current Registrations
UBS Financial Services INC.
November 2015 - Present · 10 yrs 11 mos
UBS Financial Services INC.
November 2015 - Present · 10 yrs 11 mos
UBS Financial Services INC.Broker
November 2015 - Present · 10 yrs 11 mos
Previous Registrations
Credit Suisse Securities (USA) LLC
February 2010 - December 2015 · 5 yrs 10 mos
Credit Suisse Securities (USA) LLCBroker
October 2008 - December 2015 · 7 yrs 2 mos
UBS Financial Services INC.Broker
July 1986 - November 2008 · 22 yrs 4 mos
Eastern Capital Securities, INC.Broker
April 1984 - August 1986 · 2 yrs 4 mos
Eastern Capital CorporationBroker
August 1983 - June 1984 · 10 mos
Eastern Capital CorporationBroker
August 1983 - April 1984 · 8 mos
State Registrations35 states
AKALAZCACOCTDEFLGAILINKSMAMDMEMIMOMTNCNHNJNVNYOHORPARISCTNTXUTVAVTWAWV
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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