GV
GV
Gary Vengelen
34 Years of Experience
Rochester, NY
2 DisclosuresBroker
Gary Vengelen is a registered investment advisor at UBS Financial Services INC., based in Rochester, NY, with 34 years of industry experience. Gary 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
400 Linden Oaks, Rochester, NY, 14625
Get directionsHistory
Regulatory History (2)
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.
Employment Separation After Allegations
December 2002Employment Separation After Allegations
October 1994Employment History
Current Registrations
UBS Financial Services INC.
June 2013 - Present · 13 yrs 4 mos
UBS Financial Services INC.Broker
June 2013 - Present · 13 yrs 4 mos
Previous Registrations
Morgan Stanley
June 2009 - July 2013 · 4 yrs 1 mo
Morgan StanleyBroker
June 2009 - July 2013 · 4 yrs 1 mo
Citigroup Global Markets INC.
July 2007 - June 2009 · 1 yr 11 mos
Citigroup Global Markets INC.Broker
February 2006 - June 2009 · 3 yrs 4 mos
Legg Mason Wood Walker, IncorporatedBroker
May 2003 - February 2006 · 2 yrs 9 mos
Prudential Securities IncorporatedBroker
October 1996 - January 2003 · 6 yrs 3 mos
Dean Witter Reynolds INC.Broker
November 1994 - August 1996 · 1 yr 9 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
July 1993 - October 1994 · 1 yr 3 mos
Dean Witter Reynolds INC.Broker
February 1992 - August 1993 · 1 yr 6 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
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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