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Douglas Domian

19 Years of Experience
Hartford, CT
2 DisclosuresBroker

Douglas Domian is a registered investment advisor at UBS Financial Services INC., based in Hartford, CT, with 19 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
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Location

One State Street, 16th Floor, Hartford, CT, 06103

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History

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
March 2020
Settled
Customer Dispute
May 2018
Settled
Other Business Activities

Douglas is the president of Days of Glory LLC, a company involved in publishing a golf book, since 2004. He spends minimal time on accounting, bill paying, and check writing duties for this non-investment related activity.

Employment History
Current Registrations
UBS Financial Services INC.
December 2012 - Present · 13 yrs 5 mos
UBS Financial Services INC.
December 2012 - Present · 13 yrs 5 mos
UBS Financial Services INC.Broker
December 2012 - Present · 13 yrs 5 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
March 2009 - December 2012 · 3 yrs 9 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
March 2009 - December 2012 · 3 yrs 9 mos
Fairport Capital, INC.Broker
August 2006 - April 2009 · 2 yrs 8 mos
State Registrations37 states
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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.
Douglas Domian - Financial Advisor | TrueAdvisor