Eliando A. Palmese
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.
Eliando Anthony Palmese, who also goes by Al Palmese, Elaindo Anthony Palmese, Eliando A Palmese, was a registered financial professional .
Eliando is a previously registered financial professional and started their career in finance in 1970. Eliando had worked at 8 firms and has passed the Series 65, Series 63, PC, Series 15, Series 5, Series 000, Series 1 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 29, 2013 - January 24, 2014
UBS FINANCIAL SERVICES INC.
January 1, 2010 - October 10, 2012
UBS FINANCIAL SERVICES INC.
January 1, 2010 - October 10, 2012
UBS FINANCIAL SERVICES INC.
August 23, 2007 - January 1, 2010
UBS INTERNATIONAL INC.
August 23, 2007 - January 1, 2010
UBS INTERNATIONAL INC.
March 17, 2006 - September 13, 2007
UBS FINANCIAL SERVICES INC.
March 17, 2006 - September 13, 2007
UBS FINANCIAL SERVICES INC.
July 1, 2003 - March 17, 2006
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - March 17, 2006
WELLS FARGO CLEARING SERVICES, LLC
October 2, 1997 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
July 28, 1997 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
April 11, 1990 - August 4, 1997
MORGAN STANLEY DW INC.
December 6, 1979 - March 14, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
February 24, 1978 - December 15, 1979
MORGAN STANLEY DW INC.
April 29, 1975 - February 24, 1978
REYNOLDS SECURITIES, INC.
January 22, 1970 - July 4, 1975
JESUP & LAMONT INCORPORATED
Primary Firm SEC Registration
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
PC
Date: 12/28/1987
AMEX Put and Call ExamSeries 15
Date: 12/7/1982
Foreign Currency Options ExaminationSeries 5
Date: 10/15/1981
Interest Rate Options ExaminationSeries 000
Date: 1/19/1970
General Securities Principal ExaminationSeries 1
Date: 1/19/1970
Registered Representative ExaminationSeries 12
Date: 2/21/1981
NYSE Branch Manager ExaminationCurrent Firm
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
Contact information
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
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.
