Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Glenn? Claim Your ProfileGlenn Roger Depalma is a financial advisor with UBS Financial Services INC. with over 28 years of experience in the industry. Glenn is a licensed investment advisor representative, and holds Series 3, 4, 7, 8, 9, 10, 14, 24, 63, and 66 licenses. Glenn is a registered principal with UBS Financial Services INC. in New York and has been with the firm since November 2013. Previously, Glenn worked for TD Ameritrade, Inc. and National Investor Services Corp. Glenn provides financial planning, portfolio management for individuals and businesses, pension consulting, educational seminars, and publication of periodicals for clients.
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
10/26/2021 - Present
UBS Financial Services Inc. (MELVILLE NY)
NY
01/23/2006 - 03/12/2007
NATIONAL INVESTOR SERVICES CORP. (NEW YORK NY)
NY
12/11/2000 - 03/12/2007
TD AMERITRADE, INC. (NEW YORK NY)
NE
02/07/1994 - 08/25/2000
TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)
NY
02/09/1993 - 03/23/1993
JOSEPHTHAL LYON & ROSS INCORPORATED (NEW YORK NY)
NY
11/23/1992 - 02/18/1993
STRATTON OAKMONT INC. (LAKE SUCCESS NY)
BOTH
Issued 11/2/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/25/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/2/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 1/2/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/21/2005
Series 14 - Compliance Officer Examination
BC
Issued 3/16/1998
Series 24 - General Securities Principal Examination
BC
Issued 8/4/1997
Series 4 - Registered Options Principal Examination
BC
Issued 6/3/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 1/10/2005
Series 3 - National Commodity Futures Examination
BC
Issued 11/17/1992
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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