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Paul Gilman

UBS Financial Services INC.
39 Years of Experience
New York, NY
1 DisclosureBroker
View SEC Summary
View SEC Summary

Paul Gilman is a registered investment advisor at UBS Financial Services INC., based in New York, NY, with 39 years of industry experience. Paul 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

1285 Avenue of the Americas, 15 Thru 18th Floors, New York, NY, 10019

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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
August 2001
Award / Judgment
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Paul is involved in several business activities, including a partnership in hospitality and real estate, taking minimal time. He is also a partner in a real estate rental business and provides money and advice to a BBQ restaurant.

Employment History
Current Registrations
UBS Financial Services INC.
August 2010 - Present · 16 yrs 2 mos
UBS Financial Services INC.Broker
July 2010 - Present · 16 yrs 3 mos
Previous Registrations
Morgan Stanley Smith BarneyBroker
June 2009 - July 2010 · 1 yr 1 mo
Citigroup Global Markets INC.Broker
December 2006 - June 2009 · 2 yrs 6 mos
Merrill Lynch Pierce Fenner & Smith INC.
December 2000 - December 2006 · 6 yrs
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
December 2000 - December 2006 · 6 yrs
Painewebber IncorporatedBroker
January 1992 - December 2000 · 8 yrs 11 mos
Smith Barney, Harris Upham & CO., IncorporatedBroker
May 1989 - December 1991 · 2 yrs 7 mos
Drexel Burnham Lambert IncorporatedBroker
June 1987 - May 1989 · 1 yr 11 mos
State Registrations50 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTWAWI
AdvisorBrokerBoth

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Exams
No exam information available for this advisor.
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