Mary G. Zawacki
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.
Mary Grace Zawacki, who also goes by Maryanne Zawacki, Marygrace Zawacki, was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1983. Mary had worked at 9 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
January 14, 1997 - December 10, 2019
UBS FINANCIAL SERVICES INC.
November 4, 1996 - January 13, 1997
STATEN SECURITIES CORPORATION
September 9, 1992 - October 23, 1996
JOSEPHTHAL & CO., INC.
September 4, 1990 - June 13, 1991
WELLS FARGO CLEARING SERVICES, LLC
March 13, 1990 - September 4, 1990
PRESCOTT, BALL & TURBEN, INC.
January 26, 1989 - May 1, 1990
THE STAMFORD COMPANY, INC.
June 1, 1988 - January 26, 1989
STAMFORD CAPITAL, STERLING GRACE & CO., INC.
June 16, 1987 - November 23, 1987
BROOKEHILL CAPITAL PARTNERS LIMITED
February 20, 1986 - June 24, 1987
INVEMED ASSOCIATES LLC
November 22, 1983 - January 30, 1986
STAMFORD CAPITAL, STERLING GRACE & CO., 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.
