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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

MARIO NICHOLAS PANTALEO

Advisor at UBS FINANCIAL SERVICES INC.

Chicago, IL | CHICAGO, IL

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Search this name across graphsid dfx:ria:8ec2d8e7-25df-f228-8a5f-b09bbb8af55c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:04 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Aug 9, 2001 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: UBS FINANCIAL SERVICES INC.
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 10, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Feb 10, 1998
First registration: Aug 9, 2001
Dual registered: yes, broker-dealer
IAPD individual key: 1675580

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
UBS FINANCIAL SERVICES INC.	Wirehouse	Dec 19, 2016	n/a	yes	CHICAGO, IL\|Chicago, IL	Current employment
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Oct 25, 2013	Jun 20, 2016	no	CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL	Previous registration
OPPENHEIMER ASSET MANAGEMENT	Bd affiliated wealth	Apr 15, 2003	Nov 12, 2007	no	NEW YORK, NY	Previous registration
OPPENHEIMER & CO. INC.	Bd affiliated wealth	Jan 3, 2003	Jun 17, 2013	no	CHICAGO, IL\|CHICAGO, IL	Previous registration
CIBC WORLD MARKETS CORP.	n/a	Aug 9, 2001	Jan 3, 2003	no	CHICAGO, IL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
AMERIPRISE FINANCIAL SERVICES, LLC	UBS FINANCIAL SERVICES INC.	Jun 20, 2016	Dec 19, 2016	182	Firm change	Ibd to wirehouse
OPPENHEIMER & CO. INC.	OPPENHEIMER ASSET MANAGEMENT	Jun 17, 2013	Apr 15, 2003	-3,716	Firm change after gap	Other
OPPENHEIMER ASSET MANAGEMENT	AMERIPRISE FINANCIAL SERVICES, LLC	Nov 12, 2007	Oct 25, 2013	2,174	Firm change after gap	Other
CIBC WORLD MARKETS CORP.	OPPENHEIMER & CO. INC.	Jan 3, 2003	Jan 3, 2003	0	Bulk transfer	Other

Relationships

Registered with (5)

→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: current employment
Dec 19, 2016 to presentfactForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Oct 25, 2013 to Jun 20, 2016factForm ADV
→ OPPENHEIMER & CO. INC.Registered adviserregistration: previous registration
Jan 3, 2003 to Jun 17, 2013factForm ADV
→ OPPENHEIMER ASSET MANAGEMENTRegistered adviserregistration: previous registration
Apr 15, 2003 to Nov 12, 2007factForm ADV
→ CIBC WORLD MARKETS CORP.Registered adviserregistration: previous registration
Aug 9, 2001 to Jan 3, 2003factForm ADV

Dated events

No dated event names this entity yet.