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Gerald Goldmann

38 Years of Experience
La Jolla, CA
Broker

Gerald Goldmann is a registered investment advisor at UBS Financial Services INC., based in La Jolla, CA, with 38 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Retirement Planning, and 1 more. Their firm serves 1,134,581 clients with $810B in assets under management.

Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9502 advisors
IM Fee
Planning only
Assets Under Management
$808.8B

Fee Structure

UBS Financial Services Inc. offers financial planning services for a fee, with costs ranging from $500 to $50,000, though most clients pay between $1,000 and $10,000. Fees exceeding $50,000 but not more than $100,000 may be permitted for complex situations involving relationships with a net worth of $100 million or more. The fees are negotiable and may vary based on the range of services selected, the scope of the engagement, the complexity of the services, the nature and amount of client assets involved, and the financial advisor's business model.

One-Time Plan:$500 - $50,000
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Location

1200 Prospect Street, Suite 100, La Jolla, CA, 92037

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

Gerald is a co-owner of Innovation and Investments LLC, which holds real estate. He spends minimal time on this activity.

Employment History
Current Registrations
UBS Financial Services INC.
October 2008 - Present · 17 yrs 7 mos
UBS Financial Services INC.
October 2008 - Present · 17 yrs 7 mos
UBS Financial Services INC.Broker
October 2008 - Present · 17 yrs 7 mos
Previous Registrations
Wachovia Securities, LLCBroker
July 2003 - October 2008 · 5 yrs 3 mos
Wachovia Securities, LLC
July 2003 - October 2008 · 5 yrs 3 mos
Prudential Securities Incorporated
August 1999 - July 2003 · 3 yrs 11 mos
Prudential Securities IncorporatedBroker
August 1999 - July 2003 · 3 yrs 11 mos
Salomon Smith Barney INC.Broker
July 1993 - September 1999 · 6 yrs 2 mos
Lehman Brothers INC.Broker
July 1989 - July 1993 · 4 yrs
J. T. Moran & CO., INC.Broker
May 1988 - July 1989 · 1 yr 2 mos
Sherwood Capital, INC.Broker
August 1987 - May 1988 · 9 mos
State Registrations17 states
AZCACOFLGAIAIDKYMANCNVOHOKORTNTXVA
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.