David R. Stewart
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.
David Randolph Stewart, who also goes by Randy Stewart, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1982. David had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 6 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
December 30, 1994 - September 2, 2015
UBS FINANCIAL SERVICES INC.
November 10, 1994 - September 2, 2015
UBS FINANCIAL SERVICES INC.
January 22, 1994 - November 2, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 31, 1993 - January 17, 1994
CITIGROUP GLOBAL MARKETS INC.
November 27, 1990 - July 31, 1993
LEHMAN BROTHERS INC.
September 14, 1987 - November 9, 1990
MORGAN STANLEY DW INC.
August 21, 1986 - September 11, 1987
RAUSCHER PIERCE REFSNES, INC.
March 22, 1984 - August 25, 1986
E. F. HUTTON & COMPANY INC
April 22, 1983 - May 11, 1984
PFS INVESTMENTS INC.
March 15, 1983 - March 15, 1983
WARNER BECK INCORPORATED
June 23, 1982 - December 16, 1982
NORTH AMERICAN MANAGEMENT, 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 8
Date: 1/27/1992
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.
