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Daniel Trevor Ingraldi

Ubs Financial Services Inc.

Vero Beach, FL

CRD 6461463

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Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2024-06-26
CT RA APPROVED 2023-08-23
  • NC RA
    APPROVED
    Since 2024-06-26
  • CT RA
    APPROVED
    Since 2023-08-23

Branch Locations

601 21St Street Suite 326, Vero Beach, FL 32960 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs 299 Park Avenue NY 03/2016 03/2020
Merrill Lynch, Pierce, Fenner & Smith Incorporated Paramus NJ 03/2020 07/2022
Ubs Charlotte NC 08/2022 Present
  • 03/2016 → 03/2020
    Ubs
    299 Park Avenue, NY
  • 03/2020 → 07/2022
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Paramus, NJ
  • 08/2022 → Present
    Ubs
    Charlotte, NC
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-05-07
S66 Uniform Combined State Law Examination 2017-08-14
  • S65 Uniform Investment Adviser Law Examination
    2024-05-07
  • S66 Uniform Combined State Law Examination
    2017-08-14
Other Names
  • Daniel Ingraldi

View on SEC IAPD

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MICHELLE ANN DAVIS
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MORGAN STANLEY · Vero Beach, FL
WELLS FARGO CLEARING SERVICES, LLC · VERO BEACH, FL
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