Edwin C. Lemasters

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CRD#: 1081922

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.

Edwin Craig Lemasters, who also goes by Ed Lemasters, was a registered financial professional .

Edwin is a previously registered financial professional and started their career in finance in 1983. Edwin had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ed Lemasters

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) ANNA TATAR TRUST DTD 8/5/2011/9317 Lark Sparrow Dr, 80126/family trust established by sisters family/I am acting as trustee of a family trust/start date:8/5/2011/time reqd during hours?no 2) Joseph Tatar Trust DTD 8/5/2011/ 278 Lakeview Beach Dr.,Miramar Beach,florida/family trust for sisters family/trustee/start date: 8/5/2011 3) TATAR GRANDCHILDREN TRUST DTD 12/19/2017/ 9317 Lark Sparrow dr.,highlands ranch, colorado,80126/family trust for my sisters grandkids/trustee/start date: 12/19/2017 4)Morgan Court LLC/ Description- This is an LLC set up to hold one condo, my sisters, in Steamboat Springs CO. The account will hold rents and pay property taxes and the balance will never be over $20k./ Role -none, maintain a checking account./ Comp -No 5)New Canaan Society/ Address: 19 Vitti ST.,New Canaan, CT/ Nature of Business: Christian Mens Followship, a NOn-profit/Position :Member of Board of directors/ Duties: A board member on an all volunteer board. Annual budget is less than $1MM per year. This is a non-financial role and I would have no access to or authority over funds or banking./Start Date: 5/1/2023

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

February 20, 2009 - March 20, 2025

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

Winter Park, FL

Past

February 13, 2009 - March 20, 2025

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Winter Park, FL

Past

December 16, 1993 - March 9, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

WINTER PARK, FL

Past

November 16, 1993 - March 9, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

WINTER PARK, FL

Past

February 24, 1993 - June 14, 1993

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

December 8, 1992 - January 22, 1993

SISUNG SECURITIES CORPORATION

CRD#: 25752

METAIRIE, LA

Past

June 16, 1989 - November 8, 1989

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

April 25, 1988 - June 13, 1989

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

Past

February 2, 1987 - March 31, 1988

SHERWOOD CAPITAL, INC.

CRD#: 10474

Past

January 19, 1983 - January 31, 1987

FIRST JERSEY SECURITIES, INC.

CRD#: 6621

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

UBS FINANCIAL SERVICES INC.

CRD#: 8174 / SEC#: 801-7163, 8-16267

RIA

Registered Investment Advisory firm - SEC (1/22/1971 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/2/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/15/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 12/13/2005

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 12/4/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/1/1987

General Securities Principal Examination

Current Firm

UBS FINANCIAL SERVICES INC.

CRD#: 8174 / SEC#: 801-7163, 8-16267

RIA

Registered Investment Advisory firm - SEC (1/22/1971 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

1200 Harbor Boulevard, Weehawken, NJ 07086

Mailing Address

315 Deaderick Street 3rd Fl, Compliance Department, Nashville, TN 37238

Phone number

(201) 352-3000

Established

Delaware since 06/30/1969

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

12,629

SEC notice filing (50 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

UBS FINANCIAL SERVICES WRAP FEE PROGRAMS DISCLOSURE BROCHURE (11/13/2025)

FINANCIAL PLANNING SERVICES DISCLOSURE BROCHURE (3/31/2025)

RETIREMENT PLAN CONSULTING SERVICES PROGRAM (3/31/2025)

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	Cover Page	Report
05/15/2024	Cover Page	Report
12/19/2023	Cover Page	Report

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Edwin C. Lemasters

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

UBS FINANCIAL SERVICES INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

FSC SECURITIES CORPORATION

SISUNG SECURITIES CORPORATION

LEHMAN BROTHERS INC.

DREXEL BURNHAM LAMBERT INCORPORATED

SHERWOOD CAPITAL, INC.

FIRST JERSEY SECURITIES, INC.

Primary Firm SEC Registration

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/2/1994

Series 63

Date: 1/15/1993

SIE

Date: 10/1/2018

Series 31

Date: 12/13/2005

Series 7

Date: 12/4/1992

Series 24

Date: 4/1/1987

Current Firm

UBS FINANCIAL SERVICES INC.

Contact information

SEC notice filing (50 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

UBS FINANCIAL SERVICES INC.

TRUST BUT VERIFY

Contact information

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