Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alfred? Claim Your ProfileAlfred Caliendo has over 40 years of experience in the financial services industry. Alfred is currently registered with UBS Financial Services Inc. in Florida and Texas. Previously, Alfred was registered with Wachovia Securities, LLC, Prudential Securities Incorporated, Dean Witter Reynolds Inc., Halpert, Oberst and Company and Fitti, Cunningham & Lauzon, Inc. Alfred holds a variety of licenses and certifications, including Series 3, 5, 7, 8, 9, 10, 15, 52, 63, and 65. Alfred offers a wide range of financial services, including investment advisory, financial planning, and portfolio management.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
FL
06/16/2016 - Present
UBS Financial Services Inc. (SARASOTA FL)
FL
07/01/2003 - 11/20/2008
WACHOVIA SECURITIES, LLC (SARASOTA FL)
NY
06/08/1999 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
04/26/1982 - 03/13/1998
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NA
02/23/1981 - 06/14/1985
HALPERT, OBERST AND COMPANY
NA
11/25/1981 - 04/21/1982
FITTIN, CUNNINGHAM & LAUZON, INC.
IA
Issued 04/13/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/09/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/10/1984
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/22/1986
Series 15 - Foreign Currency Options Examination
BC
Issued 04/30/1984
Series 3 - National Commodity Futures Examination
BC
Issued 12/11/1982
Series 5 - Interest Rate Options Examination
BC
Issued 02/20/1982
Series 7 - General Securities Representative Examination
BC
Issued 02/21/1981
Series 52 - Municipal Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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