SG
SG
Steven Goldman
31 Years of Experience
Mt. Laurel, NJ
2 DisclosuresBroker
Steven Goldman is a registered investment advisor at UBS Financial Services INC., based in Mt. Laurel, NJ, with 31 years of industry experience. Steven 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
501 Fellowship Road, Mt. Laurel, NJ, 08054
Get directionsHistory
Regulatory History (2)
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Regulatory
April 2024Final
Customer Dispute
September 2001Denied
Employment History
Current Registrations
UBS Financial Services INC.
August 2016 - Present · 10 yrs 2 mos
UBS Financial Services INC.Broker
August 2016 - Present · 10 yrs 2 mos
UBS Financial Services INC.
August 2016 - Present · 10 yrs 2 mos
Previous Registrations
Morgan StanleyBroker
June 2009 - August 2016 · 7 yrs 2 mos
Morgan Stanley
June 2009 - August 2016 · 7 yrs 2 mos
Citigroup Global Markets INC.
March 2002 - June 2009 · 7 yrs 3 mos
Citigroup Global Markets INC.Broker
March 1997 - June 2009 · 12 yrs 3 mos
Advest, INC.Broker
August 1993 - April 1995 · 1 yr 8 mos
Lehman Brothers INC.Broker
November 1992 - December 1992 · 1 mo
State Registrations31 states
AZCACODCDEFLGAILINMAMDMEMIMONCNENHNJNMNYOHOKORPARISCTNTXUTVAWA
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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