Donald F. Novell

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CRD#: 349639

Professional summary

Donald Francis Novell was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Donald Francis Novell, who also goes by Domenick Francis Novielli, was a registered financial advisor .

Donald is a previously registered financial advisor and started their career in finance in 1970. Donald had worked at 11 firms and has passed the Series 66, Series 63, Series 15, Series 3, Series 5, Series 1 and Series 8 exams.

Aliases

Domenick Francis Novielli

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.

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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®

None

Experience

Past

September 3, 2004 - November 14, 2006

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

PALM BEACH GARDENS, FL

Past

September 2, 2004 - November 14, 2006

UBS FINANCIAL SERVICES INC.

CRD#: 8174

PALM BEACH GARDENS, FL

Past

November 21, 2002 - September 14, 2004

KEYBANC CAPITAL MARKETS INC.

RIA

CRD#: 566

N. PALM BEACH, FL

Past

July 8, 2002 - September 14, 2004

KEYBANC CAPITAL MARKETS INC.

CRD#: 566

CLEVELAND, OH

Past

April 29, 2002 - July 18, 2002

RYAN BECK & CO.

CRD#: 3248

FLORHAM PARK, NJ

Past

January 26, 2000 - May 15, 2002

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

Past

July 1, 1998 - February 9, 2000

COWEN AND COMPANY

CRD#: 7616

NEW YORK, NY

Past

July 15, 1991 - July 1, 1998

FINANCIAL SQUARE PARTNERS

CRD#: 1541

NEW YORK, NY

Past

August 26, 1987 - June 19, 1991

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

Past

September 5, 1985 - September 21, 1987

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

Past

February 22, 1983 - June 19, 1991

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

February 27, 1980 - March 2, 1983

MORGAN STANLEY & CO. LLC

CRD#: 8209

Past

August 16, 1978 - February 27, 1980

MORGAN STANLEY & CO., INCORPORATED

CRD#: 5203

Past

October 29, 1970 - September 8, 1978

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

CRD#: 572

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.

CRD#: 8174 / SEC#: 801-7163, 8-16267

RIA

Registered Investment Advisory firm - SEC (1/22/1971 Approved)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/18/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/2/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 15

Date: 12/19/1988

Foreign Currency Options Examination

General Industry/Product Exam

Series 3

Date: 4/25/1988

National Commodity Futures Examination

General Industry/Product Exam

Series 5

Date: 11/21/1983

Interest Rate Options Examination

General Industry/Product Exam

Series 1

Date: 8/14/1968

Registered Representative Examination

Principal/Supervisory Exam

Series 8

Date: 1/18/1984

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

UBS FINANCIAL SERVICES INC.

CRD#: 8174 / SEC#: 801-7163, 8-16267

RIA

Registered Investment Advisory firm - SEC (1/22/1971 Approved)

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

UBS FINANCIAL SERVICES WRAP FEE PROGRAMS DISCLOSURE BROCHURE (11/13/2025)

FINANCIAL PLANNING SERVICES DISCLOSURE BROCHURE (3/31/2025)

RETIREMENT PLAN CONSULTING SERVICES PROGRAM (3/31/2025)

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	476
Civil Event	5
Arbitration	444

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/26/2025	Cover Page	Report
05/15/2024	Cover Page	Report
12/19/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Donald F. Novell

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

UBS FINANCIAL SERVICES INC.

KEYBANC CAPITAL MARKETS INC.

KEYBANC CAPITAL MARKETS INC.

RYAN BECK & CO.

GRUNTAL & CO., L.L.C.

COWEN AND COMPANY

FINANCIAL SQUARE PARTNERS

PRUDENTIAL EQUITY GROUP, LLC

CREDIT SUISSE SECURITIES (USA) LLC

PRUDENTIAL EQUITY GROUP, LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO., INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

Primary Firm SEC Registration

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/18/2002

Series 63

Date: 5/2/1980

Series 15

Date: 12/19/1988

Series 3

Date: 4/25/1988

Series 5

Date: 11/21/1983

Series 1

Date: 8/14/1968

Series 8

Date: 1/18/1984

Current Firm

UBS FINANCIAL SERVICES INC.

Contact information

SEC notice filing (50 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

UBS FINANCIAL SERVICES INC.

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