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Amy Gillis

49 Years of Experience
Westport, CT
4 DisclosuresBroker

Amy Gillis is a registered investment advisor at UBS Financial Services INC., based in Westport, CT, with 49 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

8 Wright Street, Westport, CT, 06880-4701

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History

Regulatory History (4)
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 2009
Settled
Customer Dispute
June 2008
Settled
Customer Dispute
April 2008
Settled
Customer Dispute
December 2007
Settled
Employment History
Current Registrations
UBS Financial Services INC.
October 1998 - Present · 27 yrs 11 mos
UBS Financial Services INC.
October 1979 - Present · 46 yrs 11 mos
UBS Financial Services INC.Broker
October 1979 - Present · 46 yrs 11 mos
Previous Registrations
Paine, Webber, Jackson & Curtis IncorporatedBroker
November 1979 - January 1980 · 2 mos
Dean Witter Reynolds INC.Broker
February 1978 - November 1979 · 1 yr 9 mos
Dean Witter & CO. IncorporatedBroker
January 1977 - February 1978 · 1 yr 1 mo
State Registrations38 states
AKAZCACOCTDCDEFLGAIAIDILINKYMAMDMEMNMONCNENHNJNVNYOHOKORPARISCTNTXVAVTVirgin IslandsWAWI
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.
Amy Gillis - Financial Advisor | TrueAdvisor