Matthew Gimmelli, CFA®
Phoenix, Arizona, 85016
Member Since 2005
Trust and Integrity. Our relationship will be based on these two principles and will form the foundation of our relationship. Trust and integrity will allow us to define and achieve the financial goals of you and your family. My knowledge, expertise and experience will allow us to meet these goals while providing you with the peace of mind that your interests always come first.
My Location
Background Information
Years of Financial Experience
- 15
Education
- Arizona State University (B.S. Finance)
Certifications and Designations
- CFA®
Association Memberships
- Phoenix CFA Society
Methods of Compensation
- Financial Planning: Asset-based fee, Hourly fee
- Investment Services: Asset-based fee, Hourly fee
Full Disclosure
- I practice full disclosure for credentials, ethics, business practices, compensation, potential conflicts of interests, and financial services.
Primary Custodian(s)
- Other
Types of Financial Reports
- Performance Report (Monthly)
- Market Environment Report (Monthly)
- Custodial Report (Monthly)
- Newsletter (Monthly)
Additional Business Practices
- I provide a written agreement to clients before I provide any advice or services.
- I work with remote clients over the telephone and Internet
- My clients have online access to their financial data
- I review my clients' financial plans with them quarterly, semi-annually, annually and upon request
- I review my clients' investment portfolios with them monthly, quarterly, semi-annually, annually and upon request
Registration & Licensing
- CRD/IARD Number: 2740441
- Securities Registrations: Series 65, Series 63, Series 7, Series 31 Managed Futures
- Insurance Licenses: Life, Annuity, Long-Term Care
Company Names
- Broker/Dealer: UBS Financial
Fiduciary Status
- Acknowledged Fiduciary in advisory relationships
Compliance Record
- No Disclosures
Criminal Record
- No Disclosures
Registered or licensed to provide financial advice, services, and products
- Alabama
- Alaska
- Arizona
- Arkansas
- California
- Colorado
- Connecticut
- Delaware
- Florida
- Georgia
- Hawaii
- Idaho
- Illinois
- Indiana
- Iowa
- Kansas
- Kentucky
- Louisiana
- Maine
- Maryland
- Massachusetts
- Michigan
- Minnesota
- Mississippi
- Missouri
- Montana
- Nebraska
- Nevada
- New Hampshire
- New Jersey
- New Mexico
- New York
- North Carolina
- North Dakota
- Ohio
- Oklahoma
- Oregon
- Pennsylvania
- Rhode Island
- South Carolina
- South Dakota
- Tennessee
- Texas
- Utah
- Vermont
- Virginia
- WDC
- Washington
- West Virginia
- Wisconsin
- Wyoming
Planning Services
- Financial Planning, Retirement, College Funding, Estate, Tax, Charitable, Small Business and Self-Employed cash management and retirement planning.
Investment Services
- Strategy Development, Written investment policy, Asset allocation, Performance Reporting, Tax Efficient Strategies, Assist with lending and liability management as well as cash management for businesses.
Investment Products
- Mutual Funds, Securities, Hedge Fund, Derivatives, Commodities, Currencies, REITs, Equity, Limited Partnerships
Insurance Products
- Life, Fixed Annuity, Variable Annuity
Visit Website - http://financialservicesinc.ubs.com/team/viewpoint/
