• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
Dianne Funigiello
DIANNE DILEO DELFINO, DIANNE M DELFINO, DIANNE DELFINO FUNIGIELLO, Dianne DiLeo Delfino, Dianne M Delfino…
CRD#: 2430702
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 Yorktown Hts, NY
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2009 - 2010 (<1 year)2 FIRMS2010 - 2012 (2 years)2 FIRMS2012 - 2013 (<1 year)2 FIRMS2013 - 2014 (1 year)2 FIRMS2014 - 2016 (2 years)2 FIRMS2018 - 2020 (2 years)2 FIRMS2020 - 2021 (1 year)2 FIRMS2023 - Present (1 year)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1997 - 2009 (12 years)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2006 - 2009 (3 years)
License(s)

State Registrations

B
New York 4/20/2023

IA
New York 4/20/2023

SRO Registrations

B
BOX Exchange LLC

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
Yorktown Hts, NY
Registered with this firm since 4/20/2023

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
Yorktown Hts, NY
Registered with this firm since 4/20/2023

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
09/25/2020 - 12/23/2021 NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC (CRD#:2881) Stamford, CT
B
09/24/2020 - 12/23/2021 NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881) Stamford, CT
IA
03/19/2018 - 08/18/2020 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
03/19/2018 - 08/18/2020 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
IA
09/26/2014 - 10/12/2016 HSBC SECURITIES (USA) INC. (CRD#:19585) HUNTINGTON STATION, NY
B
09/24/2014 - 10/12/2016 HSBC SECURITIES (USA) INC. (CRD#:19585) HUNTINGTON STATION, NY
IA
01/14/2013 - 08/06/2014 WELLS FARGO ADVISORS, LLC (CRD#:19616) WHITE PLAINS, NY
B
01/14/2013 - 08/06/2014 WELLS FARGO ADVISORS, LLC (CRD#:19616) WHITE PLAINS, NY
IA
10/01/2012 - 01/07/2013 J.P. MORGAN SECURITIES LLC (CRD#:79) NEW YORK, NY
B
10/01/2012 - 01/07/2013 J.P. MORGAN SECURITIES LLC (CRD#:79) NEW YORK, NY
IA
06/09/2010 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) WHITE PLAINS, NY
B
06/09/2010 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) WHITE PLAINS, NY
IA
11/10/2009 - 06/21/2010 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) PURCHASE, NY
B
11/25/2009 - 06/21/2010 MORGAN STANLEY SMITH BARNEY (CRD#:149777) PURCHASE, NY
IA
11/22/2006 - 12/14/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) PURCHASE, NY
B
10/23/1997 - 12/14/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) PURCHASE, NY
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.