Fred B. Gefen
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.
Fred Bruce Gefen was a registered financial professional .
Fred is a previously registered financial professional and started their career in finance in 1983. Fred had worked at 9 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 6 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 17, 2015 - June 1, 2022
UBS FINANCIAL SERVICES INC.
July 16, 2015 - June 1, 2022
UBS FINANCIAL SERVICES INC.
October 12, 2009 - July 17, 2015
WELLS FARGO CLEARING SERVICES, LLC
October 5, 2009 - July 17, 2015
WELLS FARGO CLEARING SERVICES, LLC
June 1, 2009 - October 6, 2009
MORGAN STANLEY
June 1, 2009 - October 6, 2009
MORGAN STANLEY
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
March 2, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
February 18, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
May 31, 1996 - March 14, 2005
UBS FINANCIAL SERVICES INC.
May 24, 1996 - March 14, 2005
UBS FINANCIAL SERVICES INC.
July 31, 1993 - June 6, 1996
CITIGROUP GLOBAL MARKETS INC.
May 3, 1993 - July 31, 1993
LEHMAN BROTHERS INC.
September 9, 1987 - April 15, 1993
PRUDENTIAL EQUITY GROUP, LLC
January 5, 1983 - August 26, 1987
FMSBONDS, 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.
