Janet K. Herrmann
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.
Janet Kay Herrmann, who also goes by Jan Herrmann, was a registered financial professional .
Janet is a previously registered financial professional and started their career in finance in 1982. Janet had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 6, 1996 - October 14, 2016
UBS FINANCIAL SERVICES INC.
May 6, 1996 - October 14, 2016
UBS FINANCIAL SERVICES INC.
August 2, 1995 - May 4, 1996
BANC ONE SECURITIES CORPORATION
June 28, 1993 - July 31, 1995
UBS FINANCIAL SERVICES INC.
January 21, 1993 - March 15, 1993
HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.
September 26, 1990 - December 8, 1992
WESTCAP GOVERNMENT SECURITIES, INC.
September 18, 1990 - December 8, 1992
WESTCAP SECURITIES, L.P.
July 2, 1990 - September 18, 1990
ROTAN MOSLE INC.
May 3, 1989 - May 22, 1990
HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.
July 25, 1987 - April 4, 1989
MARCUS, STOWELL & BEYE GOVERNMENT SECURITIES, INC.
January 14, 1985 - April 4, 1989
MARCUS, STOWELL & BEYE, INC.
October 20, 1982 - October 29, 1984
WESTCAP SECURITIES, L.P.
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.
