Sunlan P. Garner
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.
Sunlan Pearson Garner, who also goes by Sunny Garner, Sunlan Pearson, was a registered financial professional .
Sunlan is a previously registered financial professional and started their career in finance in 1983. Sunlan had worked at 7 firms and has passed the Series 66, 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
April 28, 2009 - January 11, 2016
UBS FINANCIAL SERVICES INC.
April 28, 2009 - January 11, 2016
UBS FINANCIAL SERVICES INC.
March 29, 2007 - May 15, 2009
CITIGROUP GLOBAL MARKETS INC.
February 12, 2001 - May 15, 2009
CITIGROUP GLOBAL MARKETS INC.
October 1, 2000 - October 11, 2000
WELLS FARGO CLEARING SERVICES, LLC
July 11, 1996 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
June 18, 1996 - July 10, 1996
FIRST UNION BROKERAGE SERVICES, INC.
July 31, 1993 - July 2, 1996
CITIGROUP GLOBAL MARKETS INC.
February 15, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
October 21, 1987 - February 15, 1988
E. F. HUTTON & COMPANY INC
August 23, 1985 - August 26, 1987
UBS FINANCIAL SERVICES INC.
September 21, 1983 - September 6, 1985
PRUDENTIAL EQUITY GROUP, LLC
March 22, 1983 - July 15, 1983
UBS FINANCIAL SERVICES 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.
