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Anthony Depalma

Ubs Financial Services Inc.

New York City, NY

CRD 2394668

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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
NJ RA APPROVED 2021-11-03
NY RA APPROVED 2021-10-26
TX RA APPROVED 2009-02-09
  • NJ RA
    APPROVED
    Since 2021-11-03
  • NY RA
    APPROVED
    Since 2021-10-26
  • TX RA
    APPROVED
    Since 2009-02-09

Branch Locations

1285 Avenue Of The Americas 15Th, 16Th, 17Th & 18Th, New York City, NY 10019 • 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 Financial Services Inc New York NY 01/2009 Present
Previous Registrations
  • 2007-04-02 → 2009-01-14
    Morgan Stanley & Co. Llc
    New York, NY
  • 2004-01-12 → 2007-04-02
    Morgan Stanley Dw Inc.
    New York, NY
    New York, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-07-10
S63 Uniform Securities Agent State Law Examination 1993-09-30
  • S65 Uniform Investment Adviser Law Examination
    2003-07-10
  • S63 Uniform Securities Agent State Law Examination
    1993-09-30
Designations
  • Certified Financial Planner
Other Names
  • Tony Depalma

View on SEC IAPD

Nearby Firms

HIGHTOWER ADVISORS, LLC
CIBC PRIVATE WEALTH ADVISORS, INC.
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Nearby Investors

JOSEPH MICHAEL CANTORE
PATRICK FRUZZETTI
Benjamin James Johnston

Nearby Offices

HIGHTOWER ADVISORS, LLC · New York City, NY
CIBC PRIVATE WEALTH ADVISORS, INC. · New York, NY
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · NEW YORK, NY

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