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Richard Dellarusso

UBS Financial Services INC.
34 Years of Experience
New York, NY
1 DisclosureBroker
View SEC Summary
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Richard Dellarusso is a registered investment advisor at UBS Financial Services INC., based in New York, NY, with 34 years of industry experience. Richard 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

1285 Avenue of the Americas, 15 Thru 18th Floors, New York, NY, 10019

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History

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 2004
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Richard is a trustee at Cardigan Mountain School, a private school educating boys in grades 6-9, since 2012. He is also a board member for Portfolios with Purpose, an investment competition benefiting charitable organizations, since 2013.

Employment History
Current Registrations
UBS Financial Services INC.Broker
November 2015 - Present · 10 yrs 11 mos
UBS Financial Services INC.
November 2015 - Present · 10 yrs 11 mos
Previous Registrations
Credit Suisse Securities (USA) LLCBroker
September 2008 - December 2015 · 7 yrs 3 mos
Credit Suisse Securities (USA) LLC
September 2008 - December 2015 · 7 yrs 3 mos
Lehman Brothers INC.
May 2008 - September 2008 · 4 mos
Lehman Brothers INC.Broker
January 1999 - September 2008 · 9 yrs 8 mos
Fidelity Brokerage Services, INC.Broker
March 1992 - February 1999 · 6 yrs 11 mos
New England Discount Brokerage, INC.Broker
June 1990 - October 1990 · 4 mos
State Registrations46 states
AKALAZCACOCTDCDEFLGAHIIDILINKSKYLAMAMDMEMIMNMOMSMTNCNENHNJNVNYOHOKORPAPRRISCTNTXUTVAVTWAWIWY
AdvisorBrokerBoth

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Exams
No exam information available for this advisor.
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