DC
DC
David Coleman
33 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 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
51 Jfk Parkway, Suite 303, Short Hills, NJ, 07078
Get directionsHistory
Regulatory History (1)
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Customer Dispute
January 2009Settled
Employment History
Current Registrations
UBS Financial Services INC.Broker
March 2013 - Present · 13 yrs 7 mos
UBS Financial Services INC.
March 2013 - Present · 13 yrs 7 mos
Previous Registrations
Morgan StanleyBroker
June 2009 - March 2013 · 3 yrs 9 mos
Morgan Stanley
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.
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