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Brian Gold
33 Years of Experience
Hallandale Beach, FL
6 DisclosuresBroker
Brian Gold is a registered investment advisor at UBS Financial Services INC., based in Hallandale Beach, FL, with 33 years of industry experience. Brian 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
1010 S. Federal Highway Suite 2601, Hallandale Beach, FL, 33009
Get directionsHistory
Regulatory History (6)
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
April 2016Settled
Customer Dispute
August 2010Settled
Customer Dispute
April 2009Settled
Customer Dispute
October 2006Settled
Customer Dispute
September 2004Denied
Employment Separation After Allegations
August 2004Employment History
Current Registrations
UBS Financial Services INC.Broker
September 2015 - Present · 11 yrs 1 mo
UBS Financial Services INC.
September 2015 - Present · 11 yrs 1 mo
UBS Financial Services INC.
September 2015 - Present · 11 yrs 1 mo
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
March 2006 - September 2015 · 9 yrs 6 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
March 2006 - September 2015 · 9 yrs 6 mos
Advest, INC.
September 2004 - March 2006 · 1 yr 6 mos
Advest, INC.Broker
September 2004 - March 2006 · 1 yr 6 mos
Morgan Stanley
July 2000 - September 2004 · 4 yrs 2 mos
Morgan Stanley Dw INC.Broker
July 2000 - September 2004 · 4 yrs 2 mos
Prudential Securities IncorporatedBroker
May 1993 - July 2000 · 7 yrs 2 mos
State Registrations17 states
CACOCTFLGAMINCNHNJNVNYPATNTXVAVTWA
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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