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Gabriel Caponetto

UBS Financial Services INC.
17 Years of Experience
Red Bank, NJ
1 DisclosureBroker
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Gabriel Caponetto is a registered investment advisor at UBS Financial Services INC., based in Red Bank, NJ, with 17 years of industry experience. Gabriel 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.

UBS Financial Services INC.
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
View Full SEC Brochure

Location

140 Broad Street, Suite 100, Red Bank, NJ, 07701

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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
April 2025
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Gabriel is a member of a committee with management or supervisory functions at Kona Investment Group, Inc., where he markets and creates interior designs and staging for customers and manages relationships. He has been involved with this activity since 2015.

Employment History
Current Registrations
UBS Financial Services INC.
December 2013 - Present · 12 yrs 10 mos
UBS Financial Services INC.
December 2013 - Present · 12 yrs 10 mos
UBS Financial Services INC.Broker
December 2013 - Present · 12 yrs 10 mos
Previous Registrations
Essex National Securities, LLC
June 2013 - December 2013 · 6 mos
Essex National Securities, LLCBroker
June 2013 - December 2013 · 6 mos
UBS Financial Services INC.Broker
April 2011 - October 2012 · 1 yr 6 mos
UBS Financial Services INC.
April 2011 - October 2012 · 1 yr 6 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
April 2009 - April 2011 · 2 yrs
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
August 2008 - April 2011 · 2 yrs 8 mos
Newbridge Securities CorporationBroker
March 2008 - June 2008 · 3 mos
Investors Capital CORP.Broker
November 2007 - January 2008 · 2 mos
State Registrations25 states
AZCACOCTDCDEFLGAINMAMDMEMINCNJNYOHOKPARISCTNTXVAVT
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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