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Antonio Francis Uccello Iii

CRD# 1963201·Registered 1989 - 2008
Previously Registered: Being a previously registered professional could mean that Antonio 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.

Professional Summary

Antonio Francis Uccello III, who also goes by Antonio Francis Uccello, was a registered financial advisor. Antonio was a previously registered financial advisor and started their career in finance 1989 - 2008. Antonio had worked at 8 firms and has passed the Series 66, Series 63, Series 3, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Antonio Francis Uccello

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

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Years of Experience

37 years in the financial services industry

Current & Past Employments

CHELSEA CAPITAL MANAGEMENT, LLC·CRD# 112132
RIA
Bradenton, FL
April 13, 2001 - December 31, 2008
BROOKSTREET SECURITIES CORPORATION·CRD# 14667
BD
San Juan Capistrano, CA
August 28, 1996 - May 11, 2001
UBS FINANCIAL SERVICES INC.·CRD# 8174
BD
Weehawken, NJ
December 8, 1992 - August 1, 1996
J. GREGORY & COMPANY, INC.·CRD# 14892
BD
September 4, 1992 - November 27, 1992
JW GENESIS CLEARING CORP.·CRD# 6631
BD
Boca Raton, FL
January 29, 1992 - September 28, 1992
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC·CRD# 11025
BD
St. Louis, MO
September 5, 1991 - January 28, 1992
MORGAN STANLEY DW INC.·CRD# 7556
BD
Purchase, NY
August 30, 1990 - September 6, 1991
J. W. GANT & ASSOCIATES, INC.·CRD# 7963
BD
September 19, 1989 - August 15, 1990

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Current Firm

No current employment

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed May 2000About the Series 66 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Sep 1989About the Series 63 exam

Series 3 — National Commodity Futures Examination

Passed Feb 1991About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed Sep 1989About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Jan 1999About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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