Rhoda L. Karpay
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.
Rhoda Lionell Karpay was a registered financial professional .
Rhoda is a previously registered financial professional and started their career in finance in 1982. Rhoda had worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 22 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 25, 2009 - April 19, 2013
UBS FINANCIAL SERVICES INC.
January 30, 2009 - April 19, 2013
UBS FINANCIAL SERVICES INC.
October 1, 1999 - February 2, 2009
WELLS FARGO CLEARING SERVICES, LLC
October 1, 1999 - February 2, 2009
WELLS FARGO CLEARING SERVICES, LLC
August 6, 1999 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
February 28, 1994 - August 20, 1999
UBS FINANCIAL SERVICES INC.
February 5, 1993 - February 17, 1994
PRUDENTIAL EQUITY GROUP, LLC
January 29, 1986 - December 12, 1994
MEADOW WOOD SECURITIES, INC.
June 12, 1985 - February 10, 1986
LIFE SECURITIES CORPORATION
June 24, 1982 - June 5, 1985
GREEN HILL FINANCIAL SERVICE CORPORATION
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.
