Anna M. Barone

UNIVERSAL WEALTH MANAGEMENT | Financial Consultant

Bay Shore, NY

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CRD#: 6735787

Professional summary

Anna M Barone is a registered financial advisor currently at UNIVERSAL WEALTH MANAGEMENT LLC located in Bay Shore, New York.

Anna is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Anna has worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Biography

I partner with my clients using a comprehensive process that leads to a clear, personalized, tax efficient investing based on investment goals and risk tolerance. I also share and engage  clients in discussions around market conditions, sound investing principles and the appropriate wealth and long term investment strategies for their personal situation.  I earn my clients' trust by conducting business with a high level of integrity, commitment and going above and beyond their expectations.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anna M Barone'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®

None

Education

CUNY Bernard M. Baruch College

BBA - Business Adminstration

2002

Experience

Current

April 24, 2026 - Present

UNIVERSAL WEALTH MANAGEMENT LLC

RIA

CRD#: 333585

Bay Shore, NY

Past

December 3, 2021 - October 7, 2024

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

PLAINVIEW, NY

Past

November 13, 2020 - October 7, 2024

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

PLAINVIEW, NY

Past

August 30, 2018 - October 27, 2020

PRUCO SECURITIES, LLC.

CRD#: 5685

Melville, NY

Past

April 18, 2017 - August 21, 2018

DAVID LERNER ASSOCIATES, INC.

CRD#: 5397

SYOSSET, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(4/24/2026)

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: 12/1/2021

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/4/2017

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/18/2017

General Securities Representative Examination

Current Firm

UNIVERSAL WEALTH MANAGEMENT LLC

CRD#: 333585 / SEC#:

Arizona

Registered Investment Advisory firm - (11/26/2024 Approved)

California

Registered Investment Advisory firm - (4/30/2025 Approved)

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Contact information

Main Address

15331 W Bell Road Ste 318, Surprise, AZ 85374

Mailing Address

Phone number

(623) 323-2268

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	144
AUM (Assets Under Management)	$ 28,000,000

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Firm Stability Insights

Anna M. Barone

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anna M Barone's CRS (Customer Relationship Summary).

Certified licenses

Education

CUNY Bernard M. Baruch College

Experience

UNIVERSAL WEALTH MANAGEMENT LLC

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY BROKERAGE SERVICES LLC

PRUCO SECURITIES, LLC.

DAVID LERNER ASSOCIATES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/1/2021

Series 63

Date: 5/4/2017

SIE

Date: 10/1/2018

Series 7

Date: 4/18/2017

Current Firm

UNIVERSAL WEALTH MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

UNIVERSAL WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

Contact information

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