DG
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Douglas Graham
42 Years of Experience
Melville, NY
1 DisclosureBroker
Douglas Graham is a registered investment advisor at UBS Financial Services INC., based in Melville, NY, with 42 years of industry experience. Douglas 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.
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
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Location
58 South Service Road, Suite 310, Melville, NY, 11747
Get directionsHistory
Regulatory History (1)
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Regulatory
January 2008Final
Employment History
Current Registrations
UBS Financial Services INC.
January 2012 - Present · 14 yrs 9 mos
UBS Financial Services INC.
August 2011 - Present · 15 yrs 2 mos
UBS Financial Services INC.Broker
August 2011 - Present · 15 yrs 2 mos
Previous Registrations
Morgan Stanley Smith BarneyBroker
June 2009 - September 2011 · 2 yrs 3 mos
Citigroup Global Markets INC.Broker
May 2004 - June 2009 · 5 yrs 1 mo
Wachovia Securities, LLC
July 2003 - May 2004 · 10 mos
Wachovia Securities, LLCBroker
July 2003 - May 2004 · 10 mos
Prudential Securities Incorporated
April 1997 - July 2003 · 6 yrs 3 mos
Prudential Securities IncorporatedBroker
January 1994 - July 2003 · 9 yrs 6 mos
Dean Witter Reynolds INC.Broker
September 1984 - January 1994 · 9 yrs 4 mos
State Registrations22 states
AZCACOCTDCFLGALAMAMDNCNJNMNYOKPARISCTNTXVAWI
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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