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Frank Tortorici

45 Years of Experience
Melville, NY
1 DisclosureBroker

Frank Tortorici is a registered investment advisor at UBS Financial Services INC., based in Melville, NY, with 45 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Retirement Planning, and 1 more. Their firm serves 1,134,581 clients with $810B in assets under management.

Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9502 advisors
IM Fee
Planning only
Assets Under Management
$808.8B

Fee Structure

UBS Financial Services Inc. offers financial planning services for a fee, with costs ranging from $500 to $50,000, though most clients pay between $1,000 and $10,000. Fees exceeding $50,000 but not more than $100,000 may be permitted for complex situations involving relationships with a net worth of $100 million or more. The fees are negotiable and may vary based on the range of services selected, the scope of the engagement, the complexity of the services, the nature and amount of client assets involved, and the financial advisor's business model.

One-Time Plan:$500 - $50,000
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Location

58 South Service Road, Suite 310, Melville, NY, 11747

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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
February 2008
Denied
Other Business Activities

Frank serves as an alternate trustee for a living trust since 2018. This activity is not investment-related.

Employment History
Current Registrations
UBS Financial Services INC.
October 2021 - Present · 4 yrs 7 mos
UBS Financial Services INC.
September 2012 - Present · 13 yrs 8 mos
UBS Financial Services INC.Broker
September 2012 - Present · 13 yrs 8 mos
Previous Registrations
Morgan Stanley Smith BarneyBroker
June 2009 - October 2012 · 3 yrs 4 mos
Citigroup Global Markets INC.
January 2002 - February 2005 · 3 yrs 1 mo
Citigroup Global Markets INC.Broker
July 1993 - June 2009 · 15 yrs 11 mos
Lehman Brothers INC.Broker
July 1989 - July 1993 · 4 yrs
Prudential-Bache Securities INC.Broker
February 1988 - July 1989 · 1 yr 5 mos
Lehman Brothers INC.Broker
October 1983 - July 1993 · 9 yrs 9 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
December 1981 - October 1983 · 1 yr 10 mos
Bache Halsey Stuart Shields IncorporatedBroker
May 1980 - January 1982 · 1 yr 8 mos
State Registrations28 states
AZCACOCTDEFLGAHIILINMAMDMEMINCNJNMNVNYOHORPARISCTXVAWIWY
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.
Frank Tortorici - Financial Advisor | TrueAdvisor