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Dorothy Decarlo

Klingman And Associates, LLC

New York, NY

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Current Employers
Klingman And Associates, Llc

120 West 45Th Street Suite 3800, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2025-03-10
  • NY RA
    APPROVED
    Since 2025-03-10

Branch Locations

120 West 45Th Street Suite 3800, New York, NY 10036 • 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 Private Wealth Management New York NY 11/2015 05/2024
Klingman And Associates, Llc New York NY 01/2025 Present
Unemployed New York NY 05/2024 01/2025
  • 11/2015 → 05/2024
    Ubs Private Wealth Management
    New York, NY
  • 01/2025 → Present
    Klingman And Associates, Llc
    New York, NY
  • 05/2024 → 01/2025
    Unemployed
    New York, NY
Previous Registrations
  • 2015-11-20 → 2024-06-07
    Ubs Financial Services Inc.
    New York, NY
  • 2013-08-23 → 2015-12-17
    Credit Suisse Securities (Usa) Llc
    New York, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-08-17
  • S66 Uniform Combined State Law Examination
    2013-08-17
Other Names
  • Dorothy Elizabeth Reifenheiser
  • Dorothy Elizabeth Decarlo

View on SEC IAPD

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