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Eric Dunn

UBS Financial Services INC.
37 Years of Experience
Sarasota, FL
1 DisclosureBroker
View SEC Summary
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Eric Dunn is a registered investment advisor at UBS Financial Services INC., based in Sarasota, FL, with 37 years of industry experience. Eric 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

1819 Main Street, Suite 900, Sarasota, FL, 34236

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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
July 2007
Withdrawn
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Eric is a paid coach for Beach Body, a fitness-related program, spending a few hours per week. He is also the President and a board member of the Greencroft Condominium Association, addressing community issues.

Employment History
Current Registrations
UBS Financial Services INC.
December 2008 - Present · 17 yrs 10 mos
UBS Financial Services INC.Broker
November 2008 - Present · 17 yrs 11 mos
Previous Registrations
Wachovia Securities, LLCBroker
July 2003 - November 2008 · 5 yrs 4 mos
Wachovia Securities, LLC
July 2003 - November 2008 · 5 yrs 4 mos
Prudential Securities IncorporatedBroker
April 2001 - July 2003 · 2 yrs 3 mos
Prudential Securities Incorporated
April 2001 - July 2003 · 2 yrs 3 mos
Morgan Stanley Dw INC.Broker
December 1996 - April 2001 · 4 yrs 4 mos
Meridian, Dunhill & CO., INC.Broker
October 1991 - July 1995 · 3 yrs 9 mos
Meridian Associates, INC.Broker
January 1991 - August 1991 · 7 mos
Meridian Associates, INC.Broker
April 1990 - August 1991 · 1 yr 4 mos
Prudential-Bache Securities INC.Broker
December 1987 - April 1990 · 2 yrs 4 mos
State Registrations35 states
ALARAZCACOCTDEFLGAILINKYMAMDMIMSMTNCNHNJNMNVNYOHORPARISCTNTXUTVAWAWIWY
AdvisorBrokerBoth

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Exams
No exam information available for this advisor.
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