Frank S. Pluchino
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Frank Sal Pluchino was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1986. Frank had worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9, Series 10, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 19, 2015 - July 5, 2023
UBS ASSET MANAGEMENT (US) INC.
December 10, 2010 - June 19, 2015
UBS FINANCIAL SERVICES INC.
December 10, 2010 - June 19, 2015
UBS FINANCIAL SERVICES INC.
January 9, 2003 - November 2, 2010
UBS FINANCIAL SERVICES INC.
January 6, 2003 - November 2, 2010
UBS FINANCIAL SERVICES INC.
January 27, 1999 - January 3, 2003
LIBERTYVIEW ALTERNATIVE ASSET MANAGEMENT INC.
May 20, 1986 - June 3, 1998
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 4/3/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
UBS ASSET MANAGEMENT (US) INC.
CRD#: 583 / SEC#: , 8-21901
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 10 |
Red Flags
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