Kirsten N. Permenter
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kirsten Nmi Permenter, who also goes by Kirsten Batten, was a registered financial professional .
Kirsten is a previously registered financial professional and started their career in finance in 1982. Kirsten had worked at 17 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 1, 2012 - December 3, 2014
UBS FINANCIAL SERVICES INC.
March 1, 2012 - December 3, 2014
UBS FINANCIAL SERVICES INC.
June 29, 2010 - September 13, 2011
BARCLAYS CAPITAL INC.
July 24, 2009 - June 30, 2010
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
July 9, 2009 - June 30, 2010
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 25, 2008 - May 19, 2009
FRUTH INVESTMENT MANAGEMENT
March 24, 2004 - May 29, 2008
UBS FINANCIAL SERVICES INC.
March 11, 2004 - May 29, 2008
UBS FINANCIAL SERVICES INC.
October 5, 1999 - August 26, 2003
MORGAN STANLEY DW INC.
October 5, 1999 - August 26, 2003
MORGAN STANLEY DW INC.
February 19, 1999 - August 20, 1999
MUTUAL SERVICE CORPORATION
June 25, 1998 - September 29, 1998
LOEWENBAUM & COMPANY INCORPORATED
August 5, 1997 - March 9, 1998
NYLIFE SECURITIES LLC
July 14, 1997 - July 16, 1997
WAMU INVESTMENTS, INC.
November 9, 1995 - July 14, 1997
ASB FINANCIAL SERVICES
October 11, 1992 - October 1, 1995
MORGAN STANLEY DW INC.
April 9, 1991 - August 19, 1992
SANDERS MORRIS LLC
June 1, 1990 - March 5, 1991
PRUDENTIAL EQUITY GROUP, LLC
April 19, 1989 - May 16, 1990
MORGAN STANLEY DW INC.
September 1, 1987 - September 7, 1988
BOETTCHER & COMPANY, INC.
September 5, 1986 - September 1, 1987
LOVETT MITCHELL WEBB & GARRISON, INC.
November 26, 1985 - March 21, 1986
CIBC WORLD MARKETS CORP.
December 1, 1982 - August 8, 1985
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC. | OWNER | |
| CAMACHO, MICHAEL ALAN | PRESIDENT | 2907298 |
| FRANCOMANO, LISA M. | CHIEF COMPLIANCE OFFICER FOR THE ADVISORY BUSINESS | 2263875 |
| MATTONE, RALPH | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| MOZER, PETER | MANAGING DIRECTOR | 2523858 |
| MUNFA, LAUREN | CHIEF COMPLIANCE OFFICER | 4431011 |
| SAKAI, KIYE | GENERAL COUNSEL | 7451987 |
| SOMMA, JOSEPH | PRINCIPAL OPERATIONS OFFICER | 2219496 |
Regulatory assets under management
| Total Number of Accounts | 1,134,923 |
| AUM (Assets Under Management) | $ 808,822,670,899 |
Disclosures
| Regulatory Event | 475 |
| Civil Event | 5 |
| Arbitration | 443 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/26/2025 | ||
| 05/15/2024 | ||
| 12/19/2023 |
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.
