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Michael Carelli

UBS Financial Services INC.
32 Years of Experience
Tampa, FL
2 DisclosuresBroker
View SEC Summary
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Michael Carelli is a registered investment advisor at UBS Financial Services INC., based in Tampa, FL, with 32 years of industry experience. Michael 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

101 East Kennedy Boulevard, Suite 1800, Tampa, FL, 33602

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History

Regulatory History (2)
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
September 2019
Settled
Customer Dispute
February 2009
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Michael is a partner in Clutch Southern Enterprises, building and operating a restaurant since 2015. He is also a partner in TM Southern Properties, a real estate holding company, and MKC Capital Partners, also involved in real estate.

Employment History
Current Registrations
UBS Financial Services INC.Broker
August 2014 - Present · 12 yrs 2 mos
UBS Financial Services INC.
August 2014 - Present · 12 yrs 2 mos
Previous Registrations
Morgan StanleyBroker
June 2009 - August 2014 · 5 yrs 2 mos
Morgan Stanley
June 2009 - August 2014 · 5 yrs 2 mos
Morgan Stanley & CO. Incorporated
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley
July 2004 - April 2007 · 2 yrs 9 mos
Morgan Stanley Dw INC.Broker
July 2004 - April 2007 · 2 yrs 9 mos
H&r Block Financial Advisors, INC.
June 2004 - July 2004 · 1 mo
H&r Block Financial Advisors, INC.Broker
April 1994 - July 2004 · 10 yrs 3 mos
Taj Global Equities, INC.Broker
November 1993 - March 1994 · 4 mos
State Registrations30 states
ALARAZCACOCTFLGAILINMAMIMOMTNCNHNJNVNYOHORPARISCTNTXVAVTWAWI
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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