DG
DG
David Greenman
33 Years of Experience
Dallas, TX
2 DisclosuresBroker
David Greenman is a registered investment advisor at UBS Financial Services INC., based in Dallas, TX, with 33 years of industry experience. David 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
100 Crescent Court, Suite 600, Dallas, TX, 75201
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.
Customer Dispute
June 2004Denied
Customer Dispute
May 2002Settled
Employment History
Current Registrations
UBS Financial Services INC.Broker
November 2015 - Present · 10 yrs 11 mos
UBS Financial Services INC.
November 2015 - Present · 10 yrs 11 mos
Previous Registrations
J.P. Morgan Securities LLC
May 2005 - November 2015 · 10 yrs 6 mos
J.P. Morgan Securities LLCBroker
May 2005 - November 2015 · 10 yrs 6 mos
Citigroup Global Markets INC.
February 1994 - May 2005 · 11 yrs 3 mos
Citigroup Global Markets INC.Broker
December 1992 - May 2005 · 12 yrs 5 mos
Greenman Parker Greenman IncorporatedBroker
October 1992 - November 1992 · 1 mo
State Registrations34 states
ALARAZCACODCFLGAIAILINMAMDMIMNMOMSNCNENJNMNYOHOKORPAPRSCTNTXUTVAVTWA
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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