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Anthony O'callaghan

UBS Financial Services INC.
43 Years of Experience
New York, NY
4 DisclosuresBroker
View SEC Summary
View SEC Summary

Anthony O'callaghan is a registered investment advisor at UBS Financial Services INC., based in New York, NY, with 43 years of industry experience. Anthony is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, High Net Worth, Insurance Planning, and 3 more. Their firm serves 1,144,588 clients with $920B in assets under management.

UBS Financial Services INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9366 advisors
IM Fee
Planning only
Assets Under Management
$915.8B

Fee Structure

Investment management only (planning not offered)
  • Customized Financial Planning Services — Typically ranges from $1,000 to $10,000, with a general range of $500 to $50,000 depending on the scope and complexity of the engagement. Fees up to $100,000 may be permitted for highly complex situations involving relationships with a net worth of $100 million or more.
One-Time Plan:$500 - $50,000
View Full SEC Brochure

Location

299 Park Ave, 26th Floor, New York, NY, 10171

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History

Regulatory History (4)
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
February 2017
Denied
Customer Dispute
February 2010
Settled
Customer Dispute
May 2008
Settled
Customer Dispute
November 2000
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Anthony is a trustee for the Harold A. O'Callaghan Trust. He also serves as an advisor on finance and auditing for The Family Center, a charity, since 2022.

Employment History
Current Registrations
UBS Financial Services INC.Broker
December 2015 - Present · 10 yrs 10 mos
UBS Financial Services INC.
December 2015 - Present · 10 yrs 10 mos
UBS Financial Services INC.
December 2015 - Present · 10 yrs 10 mos
Previous Registrations
Credit Suisse Securities (USA) LLC
January 2003 - December 2015 · 12 yrs 11 mos
Donaldson Lufkin & Jenrette Securities Corporation
July 2002 - January 2003 · 6 mos
Credit Suisse Securities (USA) LLCBroker
November 2000 - December 2015 · 15 yrs 1 mo
Donaldson, Lufkin & Jenrette Securities CorporationBroker
October 1994 - January 2003 · 8 yrs 3 mos
Kidder, Peabody & CO. IncorporatedBroker
January 1983 - October 1994 · 11 yrs 9 mos
State Registrations25 states
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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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