Louise A. Emerson
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.
Louise A. Emerson, CIMA®, who also goes by Louise A Emerson, Louise Ann Jenkins, Louise Tassoni Jenkins, Louise A Tassoni, Louise Ann Tassoni, was a registered financial professional .
Louise is a previously registered financial professional and started their career in finance in 1983. Louise had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Education
Experience
September 16, 2010 - February 28, 2025
UBS FINANCIAL SERVICES INC.
January 26, 2009 - February 28, 2025
UBS FINANCIAL SERVICES INC.
April 2, 2007 - January 27, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - January 27, 2009
MORGAN STANLEY & CO. LLC
March 28, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
July 7, 2000 - April 2, 2007
MORGAN STANLEY DW INC.
September 19, 1994 - July 20, 2000
CITIGROUP GLOBAL MARKETS INC.
May 22, 1991 - September 2, 1994
UBS FINANCIAL SERVICES INC.
September 4, 1990 - May 10, 1991
WELLS FARGO CLEARING SERVICES, LLC
January 5, 1989 - September 4, 1990
PRESCOTT, BALL & TURBEN, INC.
December 5, 1988 - January 1, 1989
HAMILTON INVESTMENTS, INC.
November 25, 1983 - December 17, 1988
OBERWEIS SECURITIES, 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
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–InvestmentsCRD#: 8174TRUST BUT VERIFY
Monitor Louise Emerson
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