Roger T. Amonica
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.
Roger Thomas Amonica was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1982. Roger had worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 3, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 13, 2011 - August 31, 2020
UBS FINANCIAL SERVICES INC.
May 13, 2011 - August 31, 2020
UBS FINANCIAL SERVICES INC.
June 1, 2009 - June 6, 2011
MORGAN STANLEY
June 1, 2009 - June 6, 2011
MORGAN STANLEY
February 22, 2005 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
February 22, 2005 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
July 30, 2002 - February 22, 2005
MORGAN STANLEY DW INC.
January 6, 1995 - February 22, 2005
MORGAN STANLEY DW INC.
April 13, 1992 - January 9, 1995
PRUDENTIAL EQUITY GROUP, LLC
July 10, 1985 - April 16, 1992
UBS FINANCIAL SERVICES INC.
January 21, 1982 - July 25, 1985
LEHMAN BROTHERS 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
Series 7TO
Date: 1/11/2024
General Securities Representative ExaminationSeries 8
Date: 12/7/1996
General Securities Sales Supervisor Examination (Options Module & General Module)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.
