Robert R. Douglas
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.
Robert Read Douglas, who also goes by Bob Douglas, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1982. Robert had worked at 9 firms and has passed the Series 63, 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
April 30, 2013 - June 7, 2023
UBS FINANCIAL SERVICES INC.
April 30, 2013 - December 31, 2024
UBS FINANCIAL SERVICES INC.
January 2, 2013 - May 17, 2013
BB&T SECURITIES, LLC
January 2, 2013 - May 17, 2013
BB&T SECURITIES, LLC
December 12, 2003 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
November 7, 2003 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
June 24, 1988 - November 25, 2003
A. G. EDWARDS & SONS, INC.
March 2, 1988 - July 13, 1988
KRUPP SECURITIES CORPORATION
December 14, 1987 - March 1, 1988
DAIN RAUSCHER INCORPORATED
October 24, 1985 - June 13, 1986
LANDSING CAPITAL CORPORATION
July 25, 1984 - August 15, 1985
MORGAN KEEGAN & COMPANY, LLC
July 22, 1982 - July 25, 1984
THE ROBINSON-HUMPHREY COMPANY, LLC
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: 7/29/1988
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.
Company Information
UBS FINANCIAL SERVICES INC.
Senior Vice President–Wealth ManagementCRD#: 8174TRUST BUT VERIFY
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