Anthony P. Depietro
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.
Anthony Paul Depietro, who also goes by Anthony P Depietro, Tre' Paul Depietro, Anthony Depietro, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 2007. Anthony had worked at 8 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 25, 2025 - July 22, 2025
UBS SECURITIES LLC
September 12, 2024 - March 7, 2025
ATHENE SECURITIES, LLC
March 5, 2022 - August 28, 2024
CREATIVEONE SECURITIES, LLC
August 23, 2017 - June 8, 2021
CREDIT SUISSE SECURITIES (USA) LLC
April 22, 2015 - August 16, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 1, 2011 - March 31, 2015
BNP PARIBAS SECURITIES CORP.
August 23, 2010 - August 16, 2011
GOLDMAN SACHS & CO. LLC
June 4, 2007 - July 16, 2007
GLOBAL DIRECT EQUITIES, LLC
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamCurrent Firm
UBS SECURITIES LLC
CRD#: 7654 / SEC#: 801-67178, 8-22651
Contact information
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.
