Theodore T. Rutter
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.
Theodore Thomas Rutter was a registered financial professional .
Theodore is a previously registered financial professional and started their career in finance in 1982. Theodore had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 5, Series 15, Series 3, Series 7, Series 9, Series 10 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
Education
English & Anthropology
1976 - 1980
Experience
October 31, 2008 - January 20, 2023
UBS FINANCIAL SERVICES INC.
October 31, 2008 - December 31, 2024
UBS FINANCIAL SERVICES INC.
April 2, 2007 - November 5, 2008
MORGAN STANLEY & CO. LLC
April 2, 2007 - November 5, 2008
MORGAN STANLEY & CO. LLC
July 8, 1997 - April 2, 2007
MORGAN STANLEY DW INC.
September 5, 1984 - April 2, 2007
MORGAN STANLEY DW INC.
May 10, 1984 - September 28, 1984
BECKER PARIBAS INCORPORATED
August 30, 1982 - April 26, 1984
MORGAN STANLEY DW 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 5
Date: 3/15/1999
Interest Rate Options ExaminationSeries 15
Date: 7/14/1998
Foreign Currency Options ExaminationSeries 8
Date: 10/23/1992
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.
Company Information
UBS FINANCIAL SERVICES INC.
Senior Vice President–Wealth ManagementCRD#: 8174TRUST BUT VERIFY
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