Brian Formento is a registered investment advisor, based in New York, NY, with 41 years of industry experience. Brian is also registered as a broker, so some compensation may come from commissions on products sold.
Location
11 Madison Avenue, New York, NY, 10010
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Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
August 2009Settled
Other Business Activities
Brian is on the investment committee for the endowment of Historic Morven Museum and Gardens, an educational establishment and National Historic Landmark, since 2020. His advice may influence an officer or board member.
Employment History
Current Registrations
UBS Securities LLCBroker
March 2026 - Present · 7 mos
UBS Financial Services INC.
August 2009 - Present · 17 yrs 2 mos
UBS Financial Services INC.
July 2006 - Present · 20 yrs 3 mos
UBS Financial Services INC.Broker
July 2006 - Present · 20 yrs 3 mos
Previous Registrations
Deutsche Bank Securities INC.Broker
October 2003 - January 2006 · 2 yrs 3 mos
Scudder Investor Services, INC.Broker
May 2003 - October 2003 · 5 mos
Deutsche Bank Securities INC.Broker
June 2002 - May 2003 · 11 mos
Twenty-First Securities CorporationBroker
November 1999 - November 2000 · 1 yr
Dkb Securities (USA) CorporationBroker
February 1998 - October 1998 · 8 mos
Fuji Securities INC.Broker
October 1997 - January 1998 · 3 mos
Paribas CorporationBroker
September 1989 - October 1997 · 8 yrs 1 mo
Painewebber IncorporatedBroker
March 1986 - August 1989 · 3 yrs 5 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 1981 - April 1986 · 4 yrs 6 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.
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