Ellen W. Zivitz
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.
Ellen Weintraub Zivitz, who also goes by Ellen Weintraub, was a registered financial professional .
Ellen is a previously registered financial professional and started their career in finance in 1982. Ellen had worked at 12 firms and has passed the Series 63, SIE 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
Experience
October 9, 2015 - June 23, 2017
UBS FINANCIAL SERVICES INC.
June 1, 2009 - September 15, 2015
MORGAN STANLEY
April 10, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
November 23, 1990 - April 9, 2008
J.P. MORGAN SECURITIES LLC
May 2, 1990 - September 11, 1990
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
May 2, 1990 - September 11, 1990
EQUITABLE ADVISORS, LLC
June 2, 1989 - January 1, 1990
J F LOWE & COMPANY INCORPORATED
December 21, 1988 - September 13, 1989
WINSTON-FROST SECURITIES, INC.
January 13, 1988 - December 13, 1988
GREENTREE SECURITIES CORP.
January 11, 1985 - February 3, 1988
BROOKS WEINGER ROBBINS & LEEDS INC.
November 2, 1984 - January 3, 1985
M. RIMSON & CO., INC.
January 23, 1984 - November 8, 1984
BROOKS WEINGER ROBBINS & LEEDS INC.
December 22, 1982 - January 27, 1984
BROOKS, HAMBURGER, SATNICK, 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.
