Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Philip? Claim Your ProfilePhilip Pellegrino is a financial advisor with UBS Financial Services Inc. Philip has been working in the financial industry since 1999. Philip has been registered with UBS Financial Services Inc. since October 2002. Previously, Philip worked at Salomon Smith Barney Inc. and Dean Witter Reynolds Inc. Philip has Series 3, 7, 10, 24, 31, and 66 licenses.
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
10/24/2002 - Present
UBS Financial Services Inc. (WEEHAWKEN NJ)
NY
05/11/2000 - 12/31/2001
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
04/27/1999 - 05/02/2000
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
BOTH
Issued 05/03/1999
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/13/2010
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/05/1999
Series 31 - Futures Managed Funds Examination
BC
Issued 04/21/1999
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
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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