Individual Firm
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ANTHONY MICHAEL RUNDELLA
ANTHONY M RUNDELLA
CRD#: 2753357
IA
B
UBS FINANCIAL SERVICES INC.CRD#: 8174 1285 AVENUE OF THE AMERICAS
15 THRU 18TH FLOORS
NEW YORK, NY 10019
15 THRU 18TH FLOORS
NEW YORK, NY 10019
View By:
1/27/2021
Customer Dispute
Denied
State Registrations
B
Alabama 2/22/2005
B
Nevada 2/22/2005
B
Alaska 2/22/2005
B
New Hampshire 2/22/2005
B
Arizona 2/22/2005
B
New Jersey 4/17/2000
B
Arkansas 2/22/2005
IA
New Jersey 1/27/2012
B
California 2/22/2005
B
New Mexico 2/22/2005
B
Colorado 2/22/2005
B
New York 4/17/2000
B
Connecticut 2/22/2005
IA
New York 10/26/2021
B
Delaware 2/22/2005
B
North Carolina 2/24/2005
B
District of Columbia 2/22/2005
B
North Dakota 2/22/2005
B
Florida 2/22/2005
B
Ohio 2/23/2005
B
Georgia 2/22/2005
B
Oklahoma 2/22/2005
B
Hawaii 2/22/2005
B
Oregon 2/22/2005
B
Idaho 2/22/2005
B
Pennsylvania 2/22/2005
B
Illinois 2/22/2005
B
Puerto Rico 2/22/2005
B
Indiana 2/22/2005
B
Rhode Island 2/22/2005
B
Iowa 2/22/2005
B
South Carolina 2/22/2005
B
Kansas 2/22/2005
B
South Dakota 2/22/2005
B
Kentucky 2/22/2005
B
Tennessee 2/22/2005
B
Louisiana 2/23/2005
B
Texas 2/22/2005
B
Maine 2/22/2005
IA
Texas 3/7/2012
B
Maryland 2/22/2005
B
Utah 2/22/2005
B
Massachusetts 2/22/2005
B
Vermont 2/22/2005
B
Michigan 2/22/2005
B
Virginia 2/22/2005
B
Minnesota 2/22/2005
B
Washington 2/22/2005
B
Mississippi 2/22/2005
B
West Virginia 2/22/2005
B
Missouri 2/22/2005
B
Wisconsin 2/22/2005
B
Montana 2/22/2005
B
Wyoming 2/22/2005
B
Nebraska 2/22/2005
SRO Registrations
B
B
B
B
B
B
B
B
B
B
View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
IA
Registered with this firm since 1/27/2012
B
Registered with this firm since 4/17/2000
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/09/2015 - 01/15/2015 | NEW YORK, NY | |
B | 01/09/2015 - 01/15/2015 | NEW YORK, NY | |
B | 10/19/1999 - 04/27/2000 | NEW YORK, NY |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.