KG
Kevin R. Granelli
UBS ASSET MANAGEMENT (US)
New York, NY 10019
Some features on this profile are disabled
CRD#: 4351304
KG
Professional summary
Kevin Reese Granelli is a registered financial professional currently at UBS ASSET MANAGEMENT (US) INC. located in New York, New York.
Kevin is registered as a RR (Registered Representative) and started their career in finance in 2001. Kevin has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 32, Series 3 and Series 7 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 Reese Granelli'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
June 24, 2014 - Present
UBS ASSET MANAGEMENT (US) INC.
Office #1: 787 Seventh Avenue, New York, NY 10019BD
CRD#: 583
New York, NY
Past
February 5, 2014 - July 1, 2014
GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 137432
NEW YORK, NY
Past
January 2, 2013 - July 1, 2014
GUGGENHEIM SECURITIES, LLC
BD
CRD#: 40638
NEW YORK, NY
Past
June 16, 2010 - December 31, 2012
GUGGENHEIM DISTRIBUTORS, LLC
BD
CRD#: 40805
NEW YORK, NY
Past
October 6, 2007 - May 12, 2008
DEAM INVESTOR SERVICES, INC.
BD
CRD#: 754
NEW YORK, NY
Past
June 19, 2003 - May 12, 2010
DWS DISTRIBUTORS, INC.
BD
CRD#: 37306
NEW YORK, NY
Past
May 30, 2003 - June 26, 2003
DEAM INVESTOR SERVICES, INC.
BD
CRD#: 754
NEW YORK, NY
Past
August 14, 2001 - May 30, 2003
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
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(6/24/2014)
RR
Alaska(6/24/2014)
RR
Arizona(6/24/2014)
RR
Arkansas(6/24/2014)
RR
California(6/24/2014)
RR
Colorado(6/24/2014)
RR
Connecticut(6/24/2014)
RR
Delaware(6/24/2014)
RR
District of Columbia(6/24/2014)
RR
Florida(6/24/2014)
RR
Georgia(6/24/2014)
RR
Hawaii(6/24/2014)
RR
Idaho(6/24/2014)
RR
Illinois(6/24/2014)
RR
Indiana(6/24/2014)
RR
Iowa(6/24/2014)
RR
Kansas(6/24/2014)
RR
Kentucky(6/24/2014)
RR
Louisiana(6/24/2014)
RR
Maine(6/24/2014)
RR
Maryland(6/24/2014)
RR
Massachusetts(6/24/2014)
RR
Michigan(6/24/2014)
RR
Minnesota(6/24/2014)
RR
Mississippi(6/24/2014)
RR
Missouri(6/24/2014)
RR
Montana(6/24/2014)
RR
Nebraska(6/24/2014)
RR
Nevada(6/24/2014)
RR
New Hampshire(6/24/2014)
RR
New Jersey(6/24/2014)
RR
New Mexico(6/24/2014)
RR
New York(6/24/2014)
RR
North Carolina(6/24/2014)
RR
North Dakota(6/24/2014)
RR
Ohio(6/24/2014)
RR
Oklahoma(6/24/2014)
RR
Oregon(6/24/2014)
RR
Pennsylvania(6/24/2014)
RR
Puerto Rico(6/24/2014)
RR
Rhode Island(6/24/2014)
RR
South Carolina(6/24/2014)
RR
South Dakota(6/24/2014)
RR
Tennessee(6/24/2014)
RR
Texas(6/24/2014)
RR
Utah(6/24/2014)
RR
Vermont(6/24/2014)
RR
Virgin Islands(6/24/2014)
RR
Virginia(6/24/2014)
RR
Washington(6/24/2014)
RR
West Virginia(6/24/2014)
RR
Wisconsin(6/24/2014)
RR
Wyoming(6/24/2014)
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
SRO Registrations
RR
FINRA
Current Firm
UA
UBS ASSET MANAGEMENT (US) INC.
BRINSON ADVISORS | UBS GLOBAL ASSET MANAGEMENT (US) INC. | UBS GLOBAL ASSET MANAGEMENT | UBS ASSET MANAGEMENT (US) INC. | PAINE WEBBER MITCHELL HUTCHINS INC. | MITCHELL HUTCHINS ASSET MANAGEMENT INC. | BRINSON ADVISORS, INC.
CRD#: 583 / SEC#: , 8-21901
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
1285 Avenue Of The Americas, New York, NY 10019
Mailing Address
1285 Avenue Of The Americas, New York, NY 10019
Phone number
(212) 821-3000
Established
Delaware since 05/05/1977
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 10 |
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.
