AG
AG
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. Amy 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
Loading...
Location
8 Wright Street, Westport, CT, 06880-4701
Get directionsHistory
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 2009Settled
Customer Dispute
June 2008Settled
Customer Dispute
April 2008Settled
Customer Dispute
December 2007Settled
Employment History
Current Registrations
UBS Financial Services INC.
October 1998 - Present · 28 yrs
UBS Financial Services INC.
October 1979 - Present · 47 yrs
UBS Financial Services INC.Broker
October 1979 - Present · 47 yrs
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.
More Advisors
- Jason WindfieldUBS Financial Services INC.
- Christopher FarrellUBS Financial Services INC.
- Martin Maffei, CFPUBS Financial Services INC.
- Jeffrey MillerUBS Financial Services INC.
- Richard ZinsUBS Financial Services INC.
- Steven ChilleUBS Financial Services INC.