Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Formento is a financial advisor currently registered with UBS Financial Services Inc. Brian has been in the industry since 1985 and has worked for several prominent firms throughout his career, including Deutsche Bank Securities Inc., Scudder Investor Services, Inc., and PaineWebber Incorporated. He currently holds a variety of registrations, including Series 3, 5, 7, 10, 24, 55, 57TO, and 66. Brian is also registered as an Investment Advisor Representative in New Jersey and 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
NJ
10/26/2021 - Present
UBS Financial Services Inc. (Princeton NJ)
NY
10/21/2003 - 01/17/2006
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
NY
05/30/2003 - 10/21/2003
SCUDDER INVESTOR SERVICES, INC. (NEW YORK NY)
NY
06/21/2002 - 05/30/2003
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
NY
11/03/1999 - 11/03/2000
TWENTY-FIRST SECURITIES CORPORATION (NEW YORK NY)
NA
02/27/1998 - 10/07/1998
DKB SECURITIES (USA) CORPORATION
NY
10/09/1997 - 01/28/1998
FUJI SECURITIES INC. (NEW YORK NY)
NY
09/12/1989 - 10/03/1997
PARIBAS CORPORATION (NEW YORK NY)
NJ
03/17/1986 - 08/07/1989
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NA
10/05/1981 - 04/08/1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BOTH
Issued 01/29/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/21/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/18/1992
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/11/2006
Series 3 - National Commodity Futures Examination
BC
Issued 04/18/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 03/02/1982
Series 5 - Interest Rate Options Examination
BC
Issued 09/19/1981
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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