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Alfred Caliendo

43 Years of Experience
Sarasota, FL
2 DisclosuresBroker

Alfred Caliendo is a registered investment advisor at UBS Financial Services INC., based in Sarasota, FL, with 43 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

1819 Main Street, Suite 900, Sarasota, FL, 34236

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History

Regulatory History (2)
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Customer Dispute
February 2002
Settled
Regulatory
September 1992
Final
Employment History
Current Registrations
UBS Financial Services INC.
December 2008 - Present · 17 yrs 5 mos
UBS Financial Services INC.Broker
November 2008 - Present · 17 yrs 6 mos
Previous Registrations
Wachovia Securities, LLCBroker
July 2003 - November 2008 · 5 yrs 4 mos
Wachovia Securities, LLC
July 2003 - November 2008 · 5 yrs 4 mos
Prudential Securities Incorporated
July 1999 - July 2003 · 4 yrs
Prudential Securities IncorporatedBroker
June 1999 - July 2003 · 4 yrs 1 mo
Dean Witter Reynolds INC.Broker
April 1982 - March 1998 · 15 yrs 11 mos
Fittin, Cunningham & Lauzon, INC.Broker
November 1981 - April 1982 · 5 mos
Halpert, Oberst and CompanyBroker
February 1981 - June 1985 · 4 yrs 4 mos
State Registrations33 states
ALARAZCACOCTDEFLGAILINMAMDMIMSMTNCNHNJNMNVNYOHPARISCTNTXVAWAWIWVWY
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.