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Deann Cavagnaro

UBS Financial Services INC.
26 Years of Experience
Paramus, NJ
1 DisclosureBroker
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Deann Cavagnaro is a registered investment advisor at UBS Financial Services INC., based in Paramus, NJ, with 26 years of industry experience. Deann 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

61 South Paramus Road, Mack Center Iv, Paramus, NJ, 07652

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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 2009
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Deann serves as the Treasurer for the Ramapo Board of Education, an educational establishment providing enrichment programs and promoting cooperation between home, school, and community. Deann's responsibilities include managing the organization's finances and providing financial reports.

Employment History
Current Registrations
UBS Financial Services INC.
January 2016 - Present · 10 yrs 9 mos
UBS Financial Services INC.Broker
January 2016 - Present · 10 yrs 9 mos
Previous Registrations
Morgan Stanley
June 2009 - February 2016 · 6 yrs 8 mos
Morgan StanleyBroker
June 2009 - February 2016 · 6 yrs 8 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley & CO. Incorporated
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley
January 2005 - April 2007 · 2 yrs 3 mos
Morgan Stanley Dw INC.Broker
February 2000 - April 2007 · 7 yrs 2 mos
State Registrations32 states
ALAZCACOCTDEFLGAHIILINKYMAMDMEMIMNMSNCNHNJNVNYOHPASCTNTXVAVTWAWI
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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