MH
Martin L. Halbfinger
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CRD#: 233735
MH
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.
Martin Lee Halbfinger was a registered financial professional .
Martin is a previously registered financial professional and started their career in finance in 1973. Martin had worked at 4 firms and has passed the Series 63, Series 7TO, SIE, PC, Series 1 and Series 000 exams.
Biography
What he does
Marty draws on nearly four decades of experience helping affluent families manage their assets. He oversees large-scale strategic wealth planning designed to provide services and solutions for each area of a client’s financial outlook. This may include portfolio management, business planning and succession, credit and lending, insurance, cash and income management, retirement planning, estate planning and charitable giving.
Who he serves
Over the years, high net worth executives, entrepreneurs, affluent families and private foundations have turned to Marty for financial planning and insight. He presently works with four generations of investors, many of them the children, grandchildren and even great-grandchildren of his earliest clients.
How he works
Marty strives to evaluate financial and investment strategies for their suitability to clients’ objectives and tolerance for risk. Since the majority of the team’s clients have significant equity holdings, he also incorporates low volatility strategies that can help the family preserve and potentially grow its wealth.
Outside the office
Marty currently serves on the board of trustees of Venture for America, and has served as an Executive Committee Board member of the Columbia Grammar and Preparatory School. He was also a member of several committees of the UJA Federation and Chairman of its Leadership Development Division. He is also active in the Park Avenue Synagogue, serving as an honorary trustee, and a board member of Jewish Association for Services to the Aged, chairing its investment committee. Marty lives in New York City with his wife, Lynn. They have two daughters, Bonnie and Carly.
Qualifications
Marty has worked in financial services since 1969. In 1980, he joined a PaineWebber subsidiary which would eventually become part of UBS. He holds FINRA Series 7 and 63 securities licenses, as well as a bachelor of arts degree in political science from Yeshiva University.
Question & Answer
What are your service offerings?
Trust & estate planning
Insurance
Financial planning
Loans/credit services
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
5M
Are you a "fiduciary"?
No
Aliases
None
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)THE LYNN HALBFINGER IRREVOCABLE TRUST/ investment related?: yes/ I AM TRUSTEE - 1 HOUR PER MONTH/ start date: 10/30/2007 2)TRUST AGREEMENT BETWEEN RICHARD SCOTT SCHAFLER AND JULIE DALE AND MARTIN HALBFINGER TRUSTEES LIFE INSURANCE TRUST EFF: 12-31-2021 TRUSTEE. 3) MARION TALANSKY REV. LIVING TRUST / REVOCABLE LIVING TRUST / TRUSTEE / START DATE 07/01/2004. 4)JMS 2011 FAMILY TRUST DTD 11/02/2011 / 200 PARK AVENUE NEW YORK NY 10166 / TRUST / OTHER FAMILY TRUST / N/A / TRUSTEE / I RECUSE MYSELF FROM PROVIDING INVESTMENT DECISIONS BUT WILL PERFORM ALL OTHER FUNCTIONS AS DESCRIBED IN THE TRUST DOCUMENT / START DATE 11/02/2011 / 5)MIS 2011 FAMILY TRSUT DTD 11/02/2011 / 200 PARK AVENUE NEW YORK NY 10166 / TRUST / OTHER FAMILY TRUST / N/A / TRUSTEE / I RECUSE MYSELF FROM PROVIDING INVESTMENT DECISIONS BUT WILL PERFORM ALL OTHER FUNCTIONS AS DESCRIBED IN THE TRUST DOCUMENT / START DATE 11/02/2011 / 6) 354 Rose Hill LLC / 1165 Park Avenue New York,NY 10128 / Other/ Other Personal LLC / Payment of personal properties / Other / Sole Member / Sole Member / Start Date 11/18/2009/ Limited Liability Company / 7) 2PP Corp /1165 Park Avenue/Apt 10B New York / new York 10128/ Corporation / Financial (Consumer & Investment Services) /Family Limited Partnership, Non operating entinity, Estate Planning tool/ Will make investment decisions for FLP/ Investment in company?: Yes, 100%/ Authority to make investment decisions?: Yes/ Start Date 11/19/2020 8) TLG LP; Partnership; Nature of Business -Private Equity and hedge fund investments; Role-Partner; Duty -Limited partner with ability to make investment decisons on behalf of the entity.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
January 2, 2003 - February 20, 2025
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
NEW YORK, NY
Past
January 1, 1991 - February 20, 2025
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
NEW YORK, NY
Past
October 17, 1980 - January 1, 1991
ROTAN MOSLE INC.
BD
CRD#: 727
Past
February 24, 1978 - November 17, 1980
MORGAN STANLEY DW INC.
BD
CRD#: 7556
Past
October 25, 1973 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
BD
CRD#: 6466
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".
UBS FINANCIAL SERVICES INC.
PAINE, WEBBER, JACKSON & CURTIS INC. | WEALTH MANAGEMENT USA | UBS PAINEWEBBER INC. | UBS FINANCIAL SERVICES INC. | PAINEWEBBER INCORPORATED | PAINEWEBBER INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
RIA
Registered Investment Advisory firm - SEC (1/22/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
PC
Date: 2/6/1979
AMEX Put and Call ExamGeneral Industry/Product Exam
RR
Series 1
Date: 10/22/1973
Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 000
Date: 10/15/1973
General Securities Principal ExaminationCurrent Firm
UBS FINANCIAL SERVICES INC.
PAINE, WEBBER, JACKSON & CURTIS INC. | WEALTH MANAGEMENT USA | UBS PAINEWEBBER INC. | UBS FINANCIAL SERVICES INC. | PAINEWEBBER INCORPORATED | PAINEWEBBER INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
RIA
Registered Investment Advisory firm - SEC (1/22/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
1200 Harbor Boulevard, Weehawken, NJ 07086
Mailing Address
315 Deaderick Street 3rd Fl, Compliance Department, Nashville, TN 37238
Phone number
(201) 352-3000
Established
Delaware since 06/30/1969
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
12,629
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC. | OWNER | |
| CAMACHO, MICHAEL ALAN | PRESIDENT | 2907298 |
| FRANCOMANO, LISA M. | CHIEF COMPLIANCE OFFICER FOR THE ADVISORY BUSINESS | 2263875 |
| MATTONE, RALPH | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| MOZER, PETER | MANAGING DIRECTOR | 2523858 |
| MUNFA, LAUREN | CHIEF COMPLIANCE OFFICER | 4431011 |
| SAKAI, KIYE | GENERAL COUNSEL | 7451987 |
| SOMMA, JOSEPH | PRINCIPAL OPERATIONS OFFICER | 2219496 |
Regulatory assets under management
| Total Number of Accounts | 1,134,923 |
| AUM (Assets Under Management) | $ 808,822,670,899 |
Disclosures
| Regulatory Event | 475 |
| Civil Event | 5 |
| Arbitration | 443 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/26/2025 | ||
| 05/15/2024 | ||
| 12/19/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
UBS FINANCIAL SERVICES INC.
Managing DirectorCRD#: 8174TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
