Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dianne? Claim Your ProfileDianne Funigiello is an active investment advisor representative with UBS Financial Services Inc. Dianne has been in the industry since 2000 and holds a Series 3, 7, 9, 10, 63, and 65 license. Dianne is registered in the state of New York and specializes in portfolio management for individuals, businesses, and pension consulting. Dianne has prior experience with HSBC, Merrill Lynch, Key Private Bank, and Northwestern Mutual Investment Services LLC.
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
04/20/2023 - Present
UBS Financial Services Inc. (Yorktown Hts NY)
CT
09/24/2020 - 12/23/2021
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (Stamford CT)
NY
03/19/2018 - 08/18/2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
09/24/2014 - 10/12/2016
HSBC SECURITIES (USA) INC. (HUNTINGTON STATION NY)
NY
01/14/2013 - 08/06/2014
WELLS FARGO ADVISORS, LLC (WHITE PLAINS NY)
NY
10/01/2012 - 01/07/2013
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
NY
06/09/2010 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (WHITE PLAINS NY)
NY
11/25/2009 - 06/21/2010
MORGAN STANLEY SMITH BARNEY (PURCHASE NY)
NY
10/23/1997 - 12/14/2009
CITIGROUP GLOBAL MARKETS INC. (PURCHASE NY)
IA
Issued 11/17/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/24/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/16/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/28/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/26/2004
Series 3 - National Commodity Futures Examination
BC
Issued 10/22/1997
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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