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CFP

Anthony Depalma

UBS Financial Services INC.
33 Years of Experience
New York City, NY
Broker
View SEC Summary
View SEC Summary

Anthony Depalma is a CFP-designated registered investment advisor at UBS Financial Services INC., based in New York City, NY, with 33 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

1285 Avenue of the Americas, 15th, 16th, 17th & 18th, New York City, NY, 10019

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Employment History
Current Registrations
UBS Financial Services INC.
January 2009 - Present · 17 yrs 9 mos
UBS Financial Services INC.Broker
January 2009 - Present · 17 yrs 9 mos
Previous Registrations
Morgan Stanley & CO. IncorporatedBroker
April 2007 - January 2009 · 1 yr 9 mos
Morgan Stanley & CO. Incorporated
April 2007 - January 2009 · 1 yr 9 mos
Morgan Stanley Dw INC.Broker
January 2004 - April 2007 · 3 yrs 3 mos
Morgan Stanley
January 2004 - April 2007 · 3 yrs 3 mos
Wachovia Securities, LLCBroker
July 2003 - January 2004 · 6 mos
Prudential Securities IncorporatedBroker
August 2000 - July 2003 · 2 yrs 11 mos
Sg Cowen Securities CorporationBroker
July 1998 - August 2000 · 2 yrs 1 mo
Cowen & CO.Broker
March 1994 - July 1998 · 4 yrs 4 mos
Lehman Brothers INC.Broker
September 1993 - March 1994 · 6 mos
State Registrations38 states
AZCACOCTDCDEFLGAILINKYLAMAMDMEMIMNMOMSMTNCNHNJNMNVNYOHORPASCTNTXUTVAVTWAWIWV
AdvisorBrokerBoth

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Exams
No exam information available for this advisor.
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