Lyana A. Monterrey
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.
Lyana Asuncion Monterrey, who also goes by Lyana A Sotomayor, was a registered financial professional .
Lyana is a previously registered financial professional and started their career in finance in 1986. Lyana had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2015 - January 27, 2026
UBS FINANCIAL SERVICES INC.
November 30, 2015 - January 27, 2026
UBS FINANCIAL SERVICES INC.
April 9, 2002 - December 10, 2015
RBC CAPITAL MARKETS, LLC
March 27, 2002 - December 10, 2015
RBC CAPITAL MARKETS, LLC
November 20, 2001 - February 28, 2002
IDS LIFE INSURANCE COMPANY
November 20, 2001 - February 28, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
May 22, 2001 - November 19, 2001
LPL FINANCIAL LLC
March 10, 1999 - April 6, 2001
SUTRO & CO. INCORPORATED
November 30, 1998 - March 22, 1999
CITIGROUP GLOBAL MARKETS INC.
October 11, 1996 - December 9, 1998
UBS FINANCIAL SERVICES INC.
January 18, 1996 - September 11, 1996
LPL FINANCIAL LLC
November 4, 1994 - January 11, 1996
WELLS FARGO SECURITIES, LLC
December 26, 1986 - November 9, 1994
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 | 476 |
| Civil Event | 5 |
| Arbitration | 444 |
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.
