DC
DC

David Coleman

32 Years of Experience
Short Hills, NJ
1 DisclosureBroker

David Coleman is a registered investment advisor at UBS Financial Services INC., based in Short Hills, NJ, with 32 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Retirement Planning, and 1 more. Their firm serves 1,134,581 clients with $810B in assets under management.

Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9502 advisors
IM Fee
Planning only
Assets Under Management
$808.8B

Fee Structure

UBS Financial Services Inc. offers financial planning services for a fee, with costs ranging from $500 to $50,000, though most clients pay between $1,000 and $10,000. Fees exceeding $50,000 but not more than $100,000 may be permitted for complex situations involving relationships with a net worth of $100 million or more. The fees are negotiable and may vary based on the range of services selected, the scope of the engagement, the complexity of the services, the nature and amount of client assets involved, and the financial advisor's business model.

One-Time Plan:$500 - $50,000
Loading...

Location

51 Jfk Parkway, Suite 303, Short Hills, NJ, 07078

Get directions

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
January 2009
Settled
Employment History
Current Registrations
UBS Financial Services INC.Broker
March 2013 - Present · 13 yrs 2 mos
UBS Financial Services INC.
March 2013 - Present · 13 yrs 2 mos
Previous Registrations
Morgan Stanley
June 2009 - March 2013 · 3 yrs 9 mos
Morgan StanleyBroker
June 2009 - March 2013 · 3 yrs 9 mos
Citigroup Global Markets INC.
May 2002 - June 2009 · 7 yrs 1 mo
Citigroup Global Markets INC.Broker
September 1995 - June 2009 · 13 yrs 9 mos
First Interregional Equity CORP.Broker
November 1993 - September 1995 · 1 yr 10 mos
A. R. Baron & CO., INC.Broker
February 1993 - June 1993 · 4 mos
State Registrations31 states
AKAZCACOCTDCDEFLGAHIIDILINMAMDMEMIMNNCNJNVNYOHORPARISCTXVAVTWA
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.