Dean GauglerCRD Number: 1863123
Current Firm: Ubs Financial Services Inc.
Dean Gaugler (CRD# 1863123) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Stamford, CT and has over 28 years of experience in the finance industry.
Altium Wealth Management LLC
Karagosian Financial Services, Inc.
Ubs Financial Services Inc.
|Ubs Financial Services Inc.||Stamford, CT||Apr 2009 - Current||8|
|Merrill Lynch, Pierce, Fenner & Smith Incorporated||Fairfield, CT||Oct 2005 - Apr 2009||3|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Nov 1988|
|S65||NASAA Investment Advisors Law Examination||Sep 1999|
Total Assets Under Management358,253MILLIONS
Total Number of Accounts860,383ACCOUNTS
Average Account Value$416,388
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters
- Security ratings or pricing services
- Educational seminars/workshops
AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV