RD
Robert J. Dorfman
UBS ASSET MANAGEMENT (AMERICAS) LLC
PALM BEACH GARDENS, FL 33410
Some features on this profile are disabled
CRD#: 2155286
RD
Professional summary
Robert Joel Dorfman, who also goes by Robert J Dorfman, is a registered financial advisor currently at UBS ASSET MANAGEMENT (AMERICAS) LLC located in Palm Beach Gardens, Florida and UBS ASSET MANAGEMENT (US) INC. located in New York, New York.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Robert has worked at 3 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Robert J Dorfman
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.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Joel Dorfman's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
October 6, 2009 - Present
UBS ASSET MANAGEMENT (AMERICAS) LLC
Office #1: 3801 Pga Boulevard 10th Fl., Palm Beach Gardens, FL, 33410Office #2: 816a North, Suite 300, Ponte Vedra Beach, FL 32082RIA
CRD#: 106838
PALM BEACH GARDENS, FL
Current
December 21, 2001 - Present
UBS ASSET MANAGEMENT (US) INC.
Office #1: 787 Seventh Avenue, New York, NY 10019BD
CRD#: 583
New York, NY
Past
July 15, 2002 - December 31, 2008
UBS ASSET MANAGEMENT (US) INC.
RIA
CRD#: 583
PALM BEACH GARDENS, FL
Past
May 1, 1998 - January 17, 2002
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
January 29, 1996 - April 28, 1998
UBS ASSET MANAGEMENT (US) INC.
BD
CRD#: 583
NEW YORK, NY
Past
November 15, 1994 - February 8, 1996
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
UA
UBS ASSET MANAGEMENT (AMERICAS) LLC
BRINSON PARTNERS | UBS UNIFIED GLOBAL ALTERNATIVES | UBS TIMBER INVESTORS | UBS SUSTAINABLE INVESTORS | UBS REAL ESTATE & PRIVATE MARKETS (AMERICAS) | UBS HEDGE FUND SOLUTIONS | UBS GROWTH INVESTORS | UBS GLOBAL REAL ASSETS AMERICAS | UBS GLOBAL ASSET MANAGEMENT(NEW YORK) INC. | UBS GLOBAL ASSET MANAGEMENT (US)INC. | UBS GLOBAL ASSET MANAGEMENT (AMERICAS) INC. | UBS CREDIT INVESTMENTS GROUP | UBS ASSET MANAGEMENT (AMERICAS) LLC | UBS ASSET MANAGEMENT (AMERICAS) INC. | UBS ASSET MANAGEMENT | UBS AM | O'CONNOR | DSI INTERNATIONAL MANAGEMENT, INC. | BRINSON PARTNERS, INC
CRD#: 106838 / SEC#: 801-34910
RIA
Registered Investment Advisory firm - (9/11/1989 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(7/10/2002)
RR
Florida(7/10/2002)
IAR
Florida(10/6/2009)
RR
Georgia(7/10/2002)
RR
Louisiana(7/11/2002)
RR
Mississippi(7/10/2002)
RR
Puerto Rico(7/10/2002)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
UA
UBS ASSET MANAGEMENT (AMERICAS) LLC
BRINSON PARTNERS | UBS UNIFIED GLOBAL ALTERNATIVES | UBS TIMBER INVESTORS | UBS SUSTAINABLE INVESTORS | UBS REAL ESTATE & PRIVATE MARKETS (AMERICAS) | UBS HEDGE FUND SOLUTIONS | UBS GROWTH INVESTORS | UBS GLOBAL REAL ASSETS AMERICAS | UBS GLOBAL ASSET MANAGEMENT(NEW YORK) INC. | UBS GLOBAL ASSET MANAGEMENT (US)INC. | UBS GLOBAL ASSET MANAGEMENT (AMERICAS) INC. | UBS CREDIT INVESTMENTS GROUP | UBS ASSET MANAGEMENT (AMERICAS) LLC | UBS ASSET MANAGEMENT (AMERICAS) INC. | UBS ASSET MANAGEMENT | UBS AM | O'CONNOR | DSI INTERNATIONAL MANAGEMENT, INC. | BRINSON PARTNERS, INC
CRD#: 106838 / SEC#: 801-34910
RIA
Registered Investment Advisory firm - (9/11/1989 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
787 7th Avenue, New York, NY 10019
Mailing Address
Phone number
(212) 713-2000
Established
Firm type
Fiscal year end
# of Employees
792
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 399,225 |
| AUM (Assets Under Management) | $ 542,245,991,275 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 |
Red Flags
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.
Company Information
UBS ASSET MANAGEMENT (AMERICAS) LLC
CRD#: 106838Palm Beach Gardens, FL 33410TRUST BUT VERIFY
Monitor Robert Dorfman
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
xxxxx@xxxx.xxx
