KC
Kevin Caliendo
UBS SECURITIES LLC
Stamford, CT 06901
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CRD#: 2657688
KC
Professional summary
Kevin Caliendo is a registered financial professional currently at UBS SECURITIES LLC located in Stamford, Connecticut.
Kevin is registered as a RR (Registered Representative) and started their career in finance in 1998. Kevin has worked at 11 firms and has passed the Series 63, Series 65, SIE, Series 87, Series 86, Series 7 and Series 55 exams.
Question & Answer
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Kevin Caliendo'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
May 16, 2018 - Present
UBS SECURITIES LLC
Office #1: 600 Washington Blvd- Stm, Stamford, CT 06901BD
CRD#: 7654
Stamford, CT
Past
December 6, 2016 - May 14, 2018
NEEDHAM & COMPANY, LLC
BD
CRD#: 16360
NEW YORK, NY
Past
June 27, 2011 - July 16, 2012
FIRST NEW YORK SECURITIES L.L.C.
BD
CRD#: 16362
NEW YORK, NY
Past
May 14, 2007 - December 23, 2010
MORGAN STANLEY INVESTMENT ADVISORS INC.
RIA
CRD#: 104525
NEW YORK, NY
Past
December 11, 2006 - December 23, 2010
MORGAN STANLEY DISTRIBUTION, INC.
BD
CRD#: 30344
GREENWICH, CT
Past
March 16, 2006 - July 13, 2006
CLEARBRIDGE INVESTMENTS, LLC
RIA
CRD#: 137028
NEW YORK, NY
Past
December 1, 2005 - July 13, 2006
FRANKLIN DISTRIBUTORS, LLC
BD
CRD#: 109064
NEW YORK, NY
Past
February 13, 2003 - December 1, 2005
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
June 1, 2000 - December 21, 2001
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
September 7, 1999 - June 1, 2000
FORUM CAPITAL MARKETS LLC
BD
CRD#: 30867
OLD GREENWICH, CT
Past
January 8, 1998 - November 13, 1998
ABN AMRO SECURITIES LLC
BD
CRD#: 6540
NEW YORK, NY
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(5/16/2018)
RR
Alaska(5/16/2018)
RR
Arizona(5/16/2018)
RR
Arkansas(5/16/2018)
RR
California(5/16/2018)
RR
Colorado(5/16/2018)
RR
Connecticut(5/16/2018)
RR
Delaware(5/16/2018)
RR
District of Columbia(5/16/2018)
RR
Florida(5/16/2018)
RR
Georgia(5/16/2018)
RR
Hawaii(5/16/2018)
RR
Idaho(5/16/2018)
RR
Illinois(5/16/2018)
RR
Indiana(5/16/2018)
RR
Iowa(5/16/2018)
RR
Kansas(5/16/2018)
RR
Kentucky(5/16/2018)
RR
Louisiana(5/16/2018)
RR
Maine(5/16/2018)
RR
Maryland(5/16/2018)
RR
Massachusetts(5/16/2018)
RR
Michigan(5/16/2018)
RR
Minnesota(5/16/2018)
RR
Mississippi(5/16/2018)
RR
Missouri(5/16/2018)
RR
Montana(5/16/2018)
RR
Nebraska(5/16/2018)
RR
Nevada(5/16/2018)
RR
New Hampshire(5/16/2018)
RR
New Jersey(5/16/2018)
RR
New Mexico(5/16/2018)
RR
New York(5/16/2018)
RR
North Carolina(5/17/2018)
RR
North Dakota(5/16/2018)
RR
Ohio(5/16/2018)
RR
Oklahoma(5/16/2018)
RR
Oregon(5/16/2018)
RR
Pennsylvania(5/16/2018)
RR
Puerto Rico(5/16/2018)
RR
Rhode Island(5/16/2018)
RR
South Carolina(5/16/2018)
RR
South Dakota(5/16/2018)
RR
Tennessee(5/16/2018)
RR
Texas(5/16/2018)
RR
Utah(5/16/2018)
RR
Vermont(5/16/2018)
RR
Virginia(5/16/2018)
RR
Washington(5/16/2018)
RR
West Virginia(5/16/2018)
RR
Wisconsin(5/16/2018)
RR
Wyoming(5/16/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 7/10/2011
Limited Representative-Equity Trader ExamSRO Registrations
RR
24X National Exchange LLC
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
US
UBS SECURITIES LLC
BRUNSWICK UBS WARBURG | WARBURG DILLON READ LLC | UBS WARBURG LLC | UBS SECURITIES LLC | UBS SECURITIES INC. | UBS INVESTMENT BANK
CRD#: 7654 / SEC#: 801-67178, 8-22651
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
11 Madison Avenue, New York, NY 10010
Mailing Address
1000 Harbor Boulevard, Weehawken, NJ 07086
Phone number
(201) 352-3000
Established
Delaware since 06/29/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC | MEMBER, VOTING | |
| CASAVECHIA, RICHARD MICHAEL | MANAGING DIRECTOR, SENIOR MANAGER INVESTMENT BANKING | 4732235 |
| DIMARCO, PATRICK M | CHIEF COMPLIANCE OFFICER | 4549136 |
| EBERT, MICHAEL J | PRESIDENT AND CHAIR OF THE BOARD | 4556059 |
| HAZELWOOD, TRICIA | MANAGING DIRECTOR, SENIOR MANAGER TRADING & SALES | 4232035 |
| LOFTUS, MICHAEL L | MANAGING ATTORNEY, INVESTMENT BANKING & CAPITAL MARKETS | 4176467 |
| MATTONE, RALPH MICHAEL | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| NIETO, CALLUM | PRINCIPAL OPERATIONS OFFICER | 6765482 |
| VAN TASSEL, JAMES C | MANAGING DIRECTOR, US EQUITIES RESEARCH | 2558212 |
Disclosures
| Regulatory Event | 308 |
| Civil Event | 4 |
| Arbitration | 3 |
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.
