DC
DC
David Cavicchio
25 Years of Experience
Portsmouth, NH
1 DisclosureBroker
David Cavicchio is a registered investment advisor at UBS Financial Services INC., based in Portsmouth, NH, with 25 years of industry experience. David 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.
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
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Location
Portsmouth, NH
Get directionsHistory
Regulatory History (1)
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Criminal
February 1990Final Disposition
Employment History
Current Registrations
UBS Financial Services INC.
July 2023 - Present · 3 yrs 3 mos
UBS Financial Services INC.
May 2009 - Present · 17 yrs 5 mos
UBS Financial Services INC.Broker
May 2009 - Present · 17 yrs 5 mos
Previous Registrations
Citigroup Global Markets INC.Broker
June 2004 - April 2009 · 4 yrs 10 mos
Manulife Financial Securities LLCBroker
April 2003 - August 2004 · 1 yr 4 mos
Morgan Stanley Dw INC.Broker
December 2000 - April 2002 · 1 yr 4 mos
Lehman Brothers INC.Broker
October 2000 - December 2000 · 2 mos
Sg Cowen Securities CorporationBroker
August 2000 - October 2000 · 2 mos
State Registrations15 states
ARCACOCTFLMAMENCNHNJNYPARITXVA
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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