Rita M. Harrington
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.
Rita Marie Harrington, who also goes by Rita M Harrington, Rita Harrington, was a registered financial professional .
Rita is a previously registered financial professional and started their career in finance in 1983. Rita had worked at 15 firms and has passed the Series 65, Series 63 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
September 4, 2012 - May 5, 2014
UBS FINANCIAL SERVICES INC.
July 18, 2012 - May 5, 2014
UBS FINANCIAL SERVICES INC.
September 29, 2010 - July 17, 2012
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
September 15, 2008 - December 12, 2008
MSI FINANCIAL SERVICES, INC.
December 6, 2006 - July 24, 2008
OPPENHEIMER & CO. INC.
March 3, 2006 - August 24, 2006
RAYMOND JAMES & ASSOCIATES, INC.
January 2, 2004 - July 22, 2005
UVEST FINANCIAL SERVICES GROUP, INC.
February 13, 2003 - July 9, 2003
CITIGROUP GLOBAL MARKETS INC.
January 13, 2003 - February 14, 2003
CADARET, GRANT & CO., INC.
October 20, 1999 - March 1, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 8, 1998 - August 20, 1999
UBS FINANCIAL SERVICES INC.
September 1, 1997 - May 6, 1998
DB ALEX. BROWN LLC
May 21, 1997 - June 12, 1997
J.P. MORGAN SECURITIES LLC
March 5, 1993 - May 19, 1997
J.C. BRADFORD & CO.
September 30, 1987 - March 9, 1993
KIDDER, PEABODY & CO. INCORPORATED
May 30, 1985 - September 10, 1987
E. F. HUTTON & COMPANY INC
January 18, 1984 - May 21, 1985
RAYMOND JAMES & ASSOCIATES, INC.
May 10, 1983 - December 27, 1983
HERETH, ORR & JONES, 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.
