Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Anthony? Claim Your ProfileAnthony Riina is an experienced financial advisor with over 30 years of experience in the industry. Anthony has worked with a number of firms including Oppenheimer & Co., Inc., Dean Witter Reynolds Inc., CitiCorp Investment Services, First Union Brokerage Services, Inc. and Wells Fargo Clearing Services, LLC. Currently Anthony is a Registered Representative and Investment Advisor Representative for UBS Financial Services Inc. in Purchase, New York.
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
NY
11/18/2024 - Present
UBS Financial Services Inc. (Purchase NY)
NY
10/01/2000 - 06/07/2023
WELLS FARGO CLEARING SERVICES, LLC (PURCHASE NY)
NC
05/24/1996 - 10/01/2000
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
NY
08/10/1994 - 05/30/1996
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
NY
08/23/1991 - 08/02/1994
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NA
01/01/1991 - 05/14/1992
GLOBAL AMERICA INCORPORATED
NY
02/28/1991 - 07/25/1991
OPPENHEIMER & CO., INC. (NEW YORK NY)
IA
Issued 12/21/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/08/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/20/1998
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/11/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 12/20/1990
Series 7 - General 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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