AL
Anthony J. Liotti
UBS ASSET MANAGEMENT (AMERICAS) LLC
New York, NY 10019
Some features on this profile are disabled
CRD#: 2263711
AL
Professional summary
Anthony J Liotti, who also goes by Anthony J Liotti, Anthony Joseph Liotti III, Anthony Joseph Liotti, is a registered financial advisor currently at UBS ASSET MANAGEMENT (AMERICAS) LLC located in New York, New York and UBS ASSET MANAGEMENT (US) INC. located in New York, New York.
Anthony is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Anthony has worked at 8 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Anthony J Liotti | Anthony Joseph Liotti Iii | Anthony Joseph Liotti
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.
1) Mount St Mary's College / 330 Powell Ave / New York / New York / 12550 / United States / www.msmc.edu/ Educational Establishment / "Mount Saint Mary College was founded by the Sisters of Saint Dominic in 1959, but the Mount has been an academic presence here in Newburgh since 1883. The college's roots in education, and in the training of educators, go even further back to the 13th century and Saint Dominic.
We offer our students an affordable liberal arts education with strong academic undergraduate programs and three graduate programs. Our degree programs in business, education, the health professions, media studies, and the social sciences are linked to high career growth fields. Mount students excel in their chosen fields by selecting internships and study abroad experiences that add dimension and value to their education."/ Member of Board of directors / Provide advice and guidance on all issues related to running the institution with an emphasis on assistance with their finances/Time required of work?: Yes, approximately 5 hours per month / Authority to make investment decisions?: Yes / Start Date 12/1/2017
CRS (Client Relationship Summary) - RIA
Click below to view Anthony J Liotti'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
August 11, 2020 - Present
UBS ASSET MANAGEMENT (AMERICAS) LLC
Office #1: 787 7th Avenue, New York, NY 10019RIA
CRD#: 106838
New York, NY
Current
August 10, 2020 - Present
UBS ASSET MANAGEMENT (US) INC.
Office #1: 787 7th Avenue, New York, NY 10019BD
CRD#: 583
New York, NY
Past
December 20, 2012 - August 10, 2020
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
WEEHAWKEN, NJ
Past
November 6, 2007 - August 10, 2020
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
September 28, 2006 - August 16, 2007
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
Past
May 19, 2004 - September 29, 2006
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NEW YORK, NY
Past
September 22, 1997 - September 14, 2006
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
June 19, 1996 - May 1, 1997
REINOSO & COMPANY, INCORPORATED
BD
CRD#: 17301
NEW YORK, NY
Past
February 4, 1995 - May 7, 1996
TUCKER ANTHONY INCORPORATED
BD
CRD#: 837
BOSTON, MA
Past
April 7, 1993 - January 24, 1995
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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(8/10/2020)
RR
Alaska(8/10/2020)
RR
Arizona(8/10/2020)
RR
Arkansas(8/10/2020)
RR
California(8/10/2020)
RR
Colorado(8/10/2020)
RR
Connecticut(8/10/2020)
RR
Delaware(8/10/2020)
RR
District of Columbia(8/10/2020)
RR
Florida(8/10/2020)
RR
Georgia(8/10/2020)
RR
Hawaii(8/10/2020)
RR
Idaho(8/10/2020)
RR
Illinois(8/10/2020)
RR
Indiana(8/10/2020)
RR
Iowa(8/10/2020)
RR
Kansas(8/10/2020)
RR
Kentucky(8/10/2020)
RR
Louisiana(8/10/2020)
RR
Maine(8/10/2020)
RR
Maryland(8/10/2020)
RR
Massachusetts(8/10/2020)
RR
Michigan(8/10/2020)
RR
Minnesota(8/10/2020)
RR
Mississippi(8/10/2020)
RR
Missouri(8/10/2020)
RR
Montana(8/10/2020)
RR
Nebraska(8/10/2020)
RR
Nevada(8/10/2020)
RR
New Hampshire(8/10/2020)
RR
New Jersey(8/10/2020)
IAR
New Jersey(8/11/2020)
RR
New Mexico(8/10/2020)
RR
New York(8/10/2020)
RR
North Carolina(8/10/2020)
RR
North Dakota(8/10/2020)
RR
Ohio(8/11/2020)
RR
Oklahoma(8/10/2020)
RR
Oregon(8/10/2020)
RR
Pennsylvania(8/10/2020)
RR
Puerto Rico(8/10/2020)
RR
Rhode Island(8/10/2020)
RR
South Carolina(8/10/2020)
RR
South Dakota(8/10/2020)
RR
Tennessee(8/10/2020)
RR
Texas(8/10/2020)
RR
Utah(8/10/2020)
RR
Vermont(8/10/2020)
RR
Virgin Islands(8/10/2020)
RR
Virginia(8/10/2020)
RR
Washington(8/10/2020)
RR
West Virginia(8/10/2020)
RR
Wisconsin(8/10/2020)
RR
Wyoming(8/10/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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
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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.
