CM
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Craig Mandel
37 Years of Experience
Huntington Station, NY
4 DisclosuresBroker
Craig Mandel is a registered investment advisor at UBS Financial Services INC., based in Huntington Station, NY, with 37 years of industry experience. Craig 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
Huntington Station, NY
Get directionsHistory
Regulatory History (4)
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
December 2013Settled
Customer Dispute
May 2006Closed-No Action
Customer Dispute
May 2005Settled
Customer Dispute
October 1999Settled
Employment History
Current Registrations
UBS Financial Services INC.
September 2020 - Present · 6 yrs 1 mo
UBS Financial Services INC.
September 2020 - Present · 6 yrs 1 mo
UBS Financial Services INC.Broker
September 2020 - Present · 6 yrs 1 mo
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
July 2005 - September 2020 · 15 yrs 2 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
August 1990 - September 2020 · 30 yrs 1 mo
Vanderbilt Securities, INC.Broker
January 1990 - November 1993 · 3 yrs 10 mos
J. T. Moran & CO., INC.Broker
May 1989 - February 1990 · 9 mos
State Registrations29 states
AZCACOCTFLGAILINKYMAMDMIMNNCNHNJNVNYOHPARISCTNTXVAVTWAWIWV
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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