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Neil Newman
47 Years of Experience
Philadelphia, PA
2 DisclosuresBroker
Neil Newman is a registered investment advisor at UBS Financial Services INC., based in Philadelphia, PA, with 47 years of industry experience. Neil 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
1735 MARKET STREET, 44th Floor, Mellon Bank Ctr., Philadelphia, PA, 19103
Get directionsHistory
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
October 2004Denied
Customer Dispute
June 2001Settled
Employment History
Current Registrations
UBS Financial Services INC.
August 2012 - Present · 14 yrs 2 mos
UBS Financial Services INC.
February 2009 - Present · 17 yrs 8 mos
UBS Financial Services INC.Broker
February 2009 - Present · 17 yrs 8 mos
Previous Registrations
Citigroup Global Markets INC.Broker
March 1988 - March 2009 · 21 yrs
Kidder, Peabody & CO. IncorporatedBroker
October 1981 - March 1988 · 6 yrs 5 mos
Butcher & Singer INC.Broker
September 1979 - November 1981 · 2 yrs 2 mos
First Jersey Securities, INC.Broker
July 1979 - October 1979 · 3 mos
State Registrations12 states
AZCACODEFLILMDMINCNJNYPA
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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