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Anthony Riina

35 Years of Experience
Purchase, NY
1 DisclosureBroker

Anthony Riina is a registered investment advisor at UBS Financial Services INC., based in Purchase, NY, with 35 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

3 Manhattanville Road, Suite 210, Purchase, NY, 10577

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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
October 2004
Denied
Employment History
Current Registrations
UBS Financial Services INC.
June 2023 - Present · 2 yrs 11 mos
UBS Financial Services INC.
June 2023 - Present · 2 yrs 11 mos
UBS Financial Services INC.Broker
June 2023 - Present · 2 yrs 11 mos
Previous Registrations
Wells Fargo Clearing Services, LLC
July 2021 - June 2023 · 1 yr 11 mos
Wells Fargo Clearing Services, LLCBroker
October 2000 - June 2023 · 22 yrs 8 mos
First Union Brokerage Services, INC.Broker
May 1996 - October 2000 · 4 yrs 5 mos
Citicorp Investment ServicesBroker
August 1994 - May 1996 · 1 yr 9 mos
Dean Witter Reynolds INC.Broker
August 1991 - August 1994 · 3 yrs
Oppenheimer & CO., INC.Broker
February 1991 - July 1991 · 5 mos
Global America IncorporatedBroker
January 1991 - May 1992 · 1 yr 4 mos
State Registrations15 states
AZCACTFLGAMDNCNJNMNYPARISCTXVA
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.