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Tracy Dellomo

UBS Financial Services INC.
32 Years of Experience
Jericho, NY
1 DisclosureBroker
View SEC Summary
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Tracy Dellomo is a registered investment advisor at UBS Financial Services INC., based in Jericho, NY, with 32 years of industry experience. Tracy 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

One Jericho Plaza, Suit 205, Jericho, NY, 11753

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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
April 2000
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Tracy owns a portion of commercial real estate and is involved in leasing activities, dedicating minimal time to it. Tracy also serves on the board of directors for the Oyster Bay Main Street Association, Volunteers for Wildlife, and the North Shore Wildlife Sanctuary, supporting local businesses, wildlife rehabilitation, and wildlife preservation.

Employment History
Current Registrations
UBS Financial Services INC.
March 2012 - Present · 14 yrs 7 mos
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
Merrill Lynch, Pierce, Fenner & Smith Incorporated
December 2007 - January 2009 · 1 yr 1 mo
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
December 1993 - January 2009 · 15 yrs 1 mo
State Registrations37 states
ALARAZCACOCTDCDEFLGAHIIAILKSMAMDMEMIMNMONCNHNJNMNVNYOHPARISCTNTXUTVAVTWAWY
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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