Alfred L. Caliendo

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2016-06-16
FL	RA	APPROVED	2008-12-03

TX RA
APPROVED_RES

Since 2016-06-16
FL RA
APPROVED

Since 2008-12-03

Branch Locations

1819 Main Street Suite 900, Sarasota, FL 34236 • United States

Disclosures

2 disclosure categories 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 Yes
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	Sarasota	FL	11/2008	Present

11/2008 → Present

Ubs Financial Services Inc

Sarasota, FL

Previous Registrations

2003-07-01 → 2008-11-20

Wells Fargo Clearing Services, Llc

Sarasota, FL

Sarasota, FL
1999-07-06 → 2003-07-01

Prudential Equity Group, Llc

Sarasota, FL

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1995-04-13
S63	Uniform Securities Agent State Law Examination	1983-08-09

S65 Uniform Investment Adviser Law Examination

1995-04-13
S63 Uniform Securities Agent State Law Examination

1983-08-09

Other Names

Alfred L Caliendo
Alfred Luigi Caliendo

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Other Firms

Other Investors

Other Offices

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