JC
JC
John Coleman
41 Years of Experience
Alpharetta, GA
3 DisclosuresBroker
John Coleman is a registered investment advisor at UBS Financial Services INC., based in Alpharetta, GA, with 41 years of industry experience. John 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
Deerfield Commons, Suite 400, Alpharetta, GA, 30004
Get directionsHistory
Regulatory History (3)
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
December 2015Settled
Customer Dispute
June 2014Settled
Customer Dispute
October 2013Denied
Employment History
Current Registrations
UBS Financial Services INC.
February 2010 - Present · 16 yrs 8 mos
UBS Financial Services INC.
February 2010 - Present · 16 yrs 8 mos
UBS Financial Services INC.Broker
February 2010 - Present · 16 yrs 8 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
September 1995 - February 2010 · 14 yrs 5 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
January 1994 - February 2010 · 16 yrs 1 mo
Synovus Securities, INC.Broker
August 1989 - January 1994 · 4 yrs 5 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
January 1985 - August 1989 · 4 yrs 7 mos
State Registrations31 states
ALARCACOCTDCDEFLGAIDILINKSKYLAMAMDMIMNMOMSNCNJNYOHPASCTNTXVAVT
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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