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Chris Geston

UBS Financial Services INC.
39 Years of Experience
New Orleans, LA
1 DisclosureBroker
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Chris Geston is a registered investment advisor at UBS Financial Services INC., based in New Orleans, LA, with 39 years of industry experience. Chris 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
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Location

New Orleans, LA

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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
September 1994
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
UBS Financial Services INC.
November 2006 - Present · 19 yrs 11 mos
UBS Financial Services INC.Broker
November 2006 - Present · 19 yrs 11 mos
Previous Registrations
Morgan Stanley Dw INC.Broker
November 1999 - November 2006 · 7 yrs
Morgan Stanley
November 1999 - November 2006 · 7 yrs
Painewebber IncorporatedBroker
May 1994 - November 1999 · 5 yrs 6 mos
Lehman Brothers INC.Broker
May 1989 - May 1994 · 5 yrs
Lehman Brothers INC.Broker
May 1987 - May 1994 · 7 yrs
State Registrations35 states
ARAZCACOCTFLGAIAIDILINKSKYLAMAMDMIMNMSNCNDNJNMNVNYOKORPASCTNTXUTVAWAWY
AdvisorBrokerBoth

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Exams
No exam information available for this advisor.
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