Thomas Erik Mantione

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

Authority	Category	Status	Date
ME	RA	APPROVED	2024-08-22
UT	RA	APPROVED	2022-08-15
FL	RA	APPROVED	2022-08-11
CT	RA	APPROVED	2003-04-11
TX	RA	APPROVED	2003-04-11

ME RA
APPROVED

Since 2024-08-22
UT RA
APPROVED

Since 2022-08-15
FL RA
APPROVED

Since 2022-08-11
CT RA
APPROVED

Since 2003-04-11
TX RA
APPROVED

Since 2003-04-11

Branch Locations

Ridgefield, CT • United States

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

600 Washington Blvd 9Th Floor, Stamford, CT 06901 • United States

Vero Beach, FL • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Ubs Financial Services Inc.	Stamford	CT	04/2003	Present

04/2003 → Present

Ubs Financial Services Inc.

Stamford, CT

Previous Registrations

1994-10-14 → 2003-04-24

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Stamford, CT

Other Businesses

Launching Life's Leaders/ 39 Boulder Hill RdRidgefieldCT06877 / This is a newly created 501c3 organization that my wife and I are starting. The purpose of the organization is to partner with the Ridgefield Boys & Girls Club and our town Scout Troops to provide 100% of the necessary financial support to kids in need that will benefit from the leadership skills the scouting program teaches. And if a child goes through our program and reaches the rank of Eagle scout to provide scholarship funding for college. / Charity / My wife and I and starting this charity from scratch. I will be intimately involved in the strategy and day-to-day operations. / 5/27/2022 Old Ivy LLC, Making private investments, Managing member of Old Ivy LLC, provide capital and make investment decisions, start date-7/3/2020, Fairfield CT United States 06824.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1994-09-16
S63	Uniform Securities Agent State Law Examination	1994-08-17

S65 Uniform Investment Adviser Law Examination

1994-09-16
S63 Uniform Securities Agent State Law Examination

1994-08-17

Other Names

Thomas E Mantione

View on SEC IAPD