Sharon A. Mastrangelo
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.
Sharon A Mastrangelo, who also goes by Sharon Ann Mastrangelo, Sharon Anne Mastrangelo, Sharon A A Mastrangelo, was a registered financial professional .
Sharon is a previously registered financial professional and started their career in finance in 1983. Sharon had worked at 13 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
March 26, 2012 - August 8, 2019
UBS FINANCIAL SERVICES INC.
March 26, 2012 - August 8, 2019
UBS FINANCIAL SERVICES INC.
November 16, 2009 - March 27, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - March 27, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 10, 2006 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 8, 2006 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 18, 2005 - April 13, 2006
MESIROW FINANCIAL, INC.
April 30, 2004 - April 5, 2005
GRANT WILLIAMS L.P.
September 11, 2002 - April 23, 2004
CORBY CAPITAL MARKETS, INC.
March 29, 2000 - May 1, 2002
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
May 3, 1996 - February 2, 2000
TD WEALTH MANAGEMENT SERVICES INC.
March 21, 1994 - April 12, 1996
TUCKER ANTHONY INCORPORATED
December 20, 1989 - March 28, 1994
THE ADVISORS GROUP, INC.
May 14, 1988 - June 14, 1988
LEHMAN BROTHERS INC.
September 26, 1983 - May 14, 1988
E. F. HUTTON & COMPANY INC
May 25, 1983 - August 6, 1983
KIDDER, PEABODY & CO. INCORPORATED
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.
