MP
MP

Mario Pantaleo

36 Years of Experience
Chicago, IL
3 DisclosuresBroker

Mario Pantaleo is a registered investment advisor at UBS Financial Services INC., based in Chicago, IL, with 36 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Retirement Planning, and 1 more. Their firm serves 1,134,581 clients with $810B in assets under management.

Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9502 advisors
IM Fee
Planning only
Assets Under Management
$808.8B

Fee Structure

UBS Financial Services Inc. offers financial planning services for a fee, with costs ranging from $500 to $50,000, though most clients pay between $1,000 and $10,000. Fees exceeding $50,000 but not more than $100,000 may be permitted for complex situations involving relationships with a net worth of $100 million or more. The fees are negotiable and may vary based on the range of services selected, the scope of the engagement, the complexity of the services, the nature and amount of client assets involved, and the financial advisor's business model.

One-Time Plan:$500 - $50,000
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Location

1 North Wacker Drive, 32nd & 33rd, Chicago, IL, 60606

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History

Regulatory History (3)
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.
Financial
September 2017
Final
Financial
July 2017
Final
Financial
July 2017
Final
Employment History
Current Registrations
UBS Financial Services INC.
December 2016 - Present · 9 yrs 5 mos
UBS Financial Services INC.
December 2016 - Present · 9 yrs 5 mos
UBS Financial Services INC.Broker
December 2016 - Present · 9 yrs 5 mos
Previous Registrations
Purshe Kaplan Sterling InvestmentsBroker
July 2016 - November 2016 · 4 mos
Ameriprise Financial Services, INC.
October 2013 - June 2016 · 2 yrs 8 mos
Ameriprise Financial Services, INC.Broker
October 2013 - June 2016 · 2 yrs 8 mos
Oppenheimer & CO. INC.
November 2007 - June 2013 · 5 yrs 7 mos
Oppenheimer Asset Management
April 2003 - November 2007 · 4 yrs 7 mos
Oppenheimer & CO. INC.Broker
January 2003 - June 2013 · 10 yrs 5 mos
Fahnestock Asset Management
January 2003 - April 2003 · 3 mos
Cibc World Markets CORP.
August 2001 - January 2003 · 1 yr 5 mos
Cibc World Markets CORP.Broker
February 1996 - January 2003 · 6 yrs 11 mos
G Equity Investment Group LTD.Broker
December 1994 - March 1996 · 1 yr 3 mos
Oppenheimer & CO., INC.Broker
May 1989 - November 1994 · 5 yrs 6 mos
State Registrations38 states
AKALARAZCACODCFLGAIAIDILINKYLAMAMDMEMIMOMTNCNVNYOHORPARISCSDTNTXUTVAWAWIWVWY
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.
Mario Pantaleo - Financial Advisor | TrueAdvisor