Frank Peter Tortorici

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
TX	RA	APPROVED_RES	2025-04-07
NY	RA	APPROVED	2021-10-26

TX RA
APPROVED_RES

Since 2025-04-07
NY RA
APPROVED

Since 2021-10-26

Branch Locations

58 South Service Road Suite 310, Melville, NY 11747 • United States

Hauppauge, NY • 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.	Melville	NY	09/2012	Present

09/2012 → Present

Ubs Financial Services Inc.

Melville, NY

Previous Registrations

2002-01-28 → 2005-02-28

Citigroup Global Markets Inc.

Hauppauge, NY

Other Businesses

NAME OF OTHER BUSINESS:L.B. 2018 Irr tst amd 3/23/2018 / INVESTMENT RELATED?: No / ADDRESS:Commack, NY 11725 / NATURE OF THE BUSINESS: Living Trust / POSITION: Alternate Trustee / DUTIES: Alternate Trustee / START DATE: 3/23/2018 / HOURS DEVOTED TO BUSINESS: N/A

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1985-06-13

S63 Uniform Securities Agent State Law Examination

1985-06-13

Other Names

Frank Peter Tortorici
Frank Peter Peter Tortorici

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