TC
Thomas M. Carluccio
UBS ASSET MANAGEMENT (US)
New York, NY 10019
Some features on this profile are disabled
CRD#: 2167724
TC
Professional summary
Thomas M. Carluccio, who also goes by Thomas Michael Carluccio, is a registered financial professional currently at UBS ASSET MANAGEMENT (US) INC. located in New York, New York.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1991. Thomas has worked at 3 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Thomas Michael Carluccio
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) - BD
Click below to view Thomas M. Carluccio'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
June 7, 2007 - Present
UBS ASSET MANAGEMENT (US) INC.
Office #1: 787 7th Avenue, New York, NY 10019BD
CRD#: 583
New York, NY
Past
February 7, 1994 - June 12, 2007
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
November 18, 1991 - June 22, 1992
HALPERT AND COMPANY, INC.
BD
CRD#: 7094
MILLBURN, NJ
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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(6/7/2007)
RR
Alaska(6/7/2007)
RR
Arizona(6/7/2007)
RR
Arkansas(6/7/2007)
RR
California(6/7/2007)
RR
Colorado(6/7/2007)
RR
Connecticut(6/7/2007)
RR
Delaware(6/7/2007)
RR
District of Columbia(6/7/2007)
RR
Florida(6/7/2007)
RR
Georgia(6/7/2007)
RR
Hawaii(6/7/2007)
RR
Idaho(6/7/2007)
RR
Illinois(6/7/2007)
RR
Indiana(6/7/2007)
RR
Iowa(6/7/2007)
RR
Kansas(6/7/2007)
RR
Kentucky(6/7/2007)
RR
Louisiana(6/7/2007)
RR
Maine(6/7/2007)
RR
Maryland(6/7/2007)
RR
Massachusetts(6/7/2007)
RR
Michigan(6/7/2007)
RR
Minnesota(6/7/2007)
RR
Mississippi(6/7/2007)
RR
Missouri(6/7/2007)
RR
Montana(6/7/2007)
RR
Nebraska(6/7/2007)
RR
Nevada(6/7/2007)
RR
New Hampshire(6/7/2007)
RR
New Jersey(6/7/2007)
RR
New Mexico(6/7/2007)
RR
New York(6/7/2007)
RR
North Carolina(6/7/2007)
RR
North Dakota(6/7/2007)
RR
Ohio(6/7/2007)
RR
Oklahoma(6/7/2007)
RR
Oregon(6/7/2007)
RR
Pennsylvania(6/7/2007)
RR
Puerto Rico(6/7/2007)
RR
Rhode Island(6/7/2007)
RR
South Carolina(6/7/2007)
RR
South Dakota(6/7/2007)
RR
Tennessee(6/7/2007)
RR
Texas(6/7/2007)
RR
Utah(6/7/2007)
RR
Vermont(6/7/2007)
RR
Virgin Islands(6/7/2007)
RR
Virginia(6/7/2007)
RR
Washington(6/7/2007)
RR
West Virginia(6/7/2007)
RR
Wisconsin(6/7/2007)
RR
Wyoming(6/7/2007)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 12/14/1999
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
UA
UBS ASSET MANAGEMENT (US) INC.
BRINSON ADVISORS | UBS GLOBAL ASSET MANAGEMENT (US) INC. | UBS GLOBAL ASSET MANAGEMENT | UBS ASSET MANAGEMENT (US) INC. | PAINE WEBBER MITCHELL HUTCHINS INC. | MITCHELL HUTCHINS ASSET MANAGEMENT INC. | BRINSON ADVISORS, INC.
CRD#: 583 / SEC#: , 8-21901
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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
1285 Avenue Of The Americas, New York, NY 10019
Mailing Address
1285 Avenue Of The Americas, New York, NY 10019
Phone number
(212) 821-3000
Established
Delaware since 05/05/1977
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 10 |
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.
