Managing Director
Market Director
Rick Penafiel is a Managing Director and Market Executive for UBS Financial Services Inc. in South Florida. Based in Boca Raton, he leads the newly established South Florida market and is focused on building a strong community for Financial Advisors, teams and clients across the region.
Rick brings more than 20 years of leadership experience in wealth management. Before joining UBS, he spent nearly three decades with J.P. Morgan, most recently serving as Regional Director for the Northeast, with responsibility for offices in Boston, Philadelphia, New Jersey and Washington, D.C. Earlier, he led the Boston, Palm Beach and Miami offices and spent 12 years building J.P. Morgan Advisors' presence in Florida.
Throughout his career, Rick has concentrated on business growth, advisor development and recruiting. He has helped advisors connect clients with the breadth of their firm's capabilities and has worked to attract experienced professionals seeking to grow their businesses. His leadership approach emphasizes high character, respect, fairness, energy and a culture in which people can do their best work.
Rick began his career at PaineWebber in 1993 and joined a J.P. Morgan predecessor firm in 1997, moving into sales management in 1999. He earned a B.S. from Boston College and holds FINRA Series 3, 7, 8, 24, 63 and 65 securities licenses.
Rick and his family have relocated to South Florida. Outside of work, he enjoys fishing and spending time with his family.
Managing Director
Market Director
Rick Penafiel is a Managing Director and Market Executive for UBS Financial Services Inc. in South Florida. Based in Boca Raton, he leads the newly established South Florida market and is focused on building a strong community for Financial Advisors, teams and clients across the region.
Rick brings more than 20 years of leadership experience in wealth management. Before joining UBS, he spent nearly three decades with J.P. Morgan, most recently serving as Regional Director for the Northeast, with responsibility for offices in Boston, Philadelphia, New Jersey and Washington, D.C. Earlier, he led the Boston, Palm Beach and Miami offices and spent 12 years building J.P. Morgan Advisors' presence in Florida.
Throughout his career, Rick has concentrated on business growth, advisor development and recruiting. He has helped advisors connect clients with the breadth of their firm's capabilities and has worked to attract experienced professionals seeking to grow their businesses. His leadership approach emphasizes high character, respect, fairness, energy and a culture in which people can do their best work.
Rick began his career at PaineWebber in 1993 and joined a J.P. Morgan predecessor firm in 1997, moving into sales management in 1999. He earned a B.S. from Boston College and holds FINRA Series 3, 7, 8, 24, 63 and 65 securities licenses.
Rick and his family have relocated to South Florida. Outside of work, he enjoys fishing and spending time with his family.
Director
Market Administrative Officer
Antonio is an Associate Market Executive for the Florida Market. Antonio is a results-oriented Associate Market Executive, overseeing the Florida Market. He drives business development, implements sales growth plans, and develops coaching programs for financial advisors to enhance their professional growth. Antonio manages escalated issues, including financial, reputational, and compliance risks. He also supports financial advisor recruitment, hiring, and onboarding. Previously, as Client Experience Director, Antonio streamlined processes to improve client and advisor experiences.
Antonio began his career with Merrill Lynch in 2006, advanced into leadership roles, and joined UBS in 2015. He holds dual Bachelor's degrees in Marketing and Management from Northwood University.
Director
Market Administrative Officer
Antonio is an Associate Market Executive for the Florida Market. Antonio is a results-oriented Associate Market Executive, overseeing the Florida Market. He drives business development, implements sales growth plans, and develops coaching programs for financial advisors to enhance their professional growth. Antonio manages escalated issues, including financial, reputational, and compliance risks. He also supports financial advisor recruitment, hiring, and onboarding. Previously, as Client Experience Director, Antonio streamlined processes to improve client and advisor experiences.
Antonio began his career with Merrill Lynch in 2006, advanced into leadership roles, and joined UBS in 2015. He holds dual Bachelor's degrees in Marketing and Management from Northwood University.
Eligibility is based on quantitative factors and is not necessarily related to the quality of the investment advice. For more information on third party rating methodologies, please visit ubs.com/us/en/designation-disclosures.
Eligibility is based on quantitative factors and is not necessarily related to the quality of the investment advice. For more information on third party rating methodologies, please visit ubs.com/us/en/designation-disclosures.
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