GM
GM
Geoffrey Mann
40 Years of Experience
Wall, NJ
8 DisclosuresBroker
Geoffrey Mann is a registered investment advisor at UBS Financial Services INC., based in Wall, NJ, with 40 years of industry experience. Geoffrey 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
2107 Route 34, Suite 102, Wall, NJ, 07719
Get directionsHistory
Regulatory History (8)
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 2014Settled
Customer Dispute
May 2009Denied
Customer Dispute
January 2005Settled
Customer Dispute
September 2002Denied
Customer Dispute
March 1999Closed-No Action
Customer Dispute
December 1998Denied
Regulatory
April 1993Final
Employment Separation After Allegations
April 1991Employment History
Current Registrations
UBS Financial Services INC.
November 2008 - Present · 17 yrs 11 mos
UBS Financial Services INC.
November 2008 - Present · 17 yrs 11 mos
UBS Financial Services INC.Broker
November 2008 - Present · 17 yrs 11 mos
Previous Registrations
Morgan Stanley & CO. IncorporatedBroker
April 2007 - November 2008 · 1 yr 7 mos
Morgan Stanley & CO. Incorporated
April 2007 - November 2008 · 1 yr 7 mos
Morgan Stanley
June 2002 - April 2007 · 4 yrs 10 mos
Morgan Stanley Dw INC.Broker
March 2000 - April 2007 · 7 yrs 1 mo
Painewebber IncorporatedBroker
May 1991 - March 2000 · 8 yrs 10 mos
Painewebber IncorporatedBroker
April 1991 - April 1991 · 0 mos
Smith Barney, Harris Upham & CO., IncorporatedBroker
September 1988 - May 1991 · 2 yrs 8 mos
Halpert and Company, INC.Broker
April 1986 - September 1988 · 2 yrs 5 mos
State Registrations25 states
ALAZCACOCTDEFLGAILKYMDMEMINCNJNMNVNYOHPASCTXVAWAWI
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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