John Shepard Adams
CFP®, CIMA®Professional Summary
John Shepard Adams, CFP®, CIMA® was a registered financial advisor. John was a previously registered financial professional and started their career in finance 1983 - 2026. John had worked at 5 firms and has passed the Series 63, SIE, Series 31, Series 7, Series 22, Series 6 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Services Offered
- Estate Planning
- Retirement Planning
- Socially Responsible Investing
- Investment Planning
- Comprehensive Financial Planning
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Credentials
Years of Experience
43 years in the financial services industry
Current & Past Employments
Past
Education
The American College
Management
Management
1998 - 2002
The Evergreen State College
Classical Music, Business Administration
Classical Music, Business Administration
1978 - 1982
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Current Firm
PAINE, WEBBER, JACKSON & CURTIS INC. | WEALTH MANAGEMENT USA | UBS PAINEWEBBER INC. | UBS FINANCIAL SERVICES INC. | PAINEWEBBER INCORPORATED | PAINEWEBBER INC.
Contact Information
Main Address
1200 Harbor Boulevard, Weehawken, NJ 07086Mailing Address
315 Deaderick Street 3rd Fl, Compliance Department, Nashville, TN 37238Phone Number
(201) 352-3000Established
Delaware since 06/30/1969Firm Type
CorporationFiscal Year End
DecemberFirm Size
Large# of Employees
12,524SEC notice filing (50 States and Territories)
Registered to provide investment advisory services in 50 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 50 US 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
1,144,309AUM (Assets Under Management)
$915,793,138,114Disclosures
Regulatory Event
480Civil Event
5Arbitration
445Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/22/2026 | Cover Page | Report |
| 06/26/2025 | Cover Page | Report |
| 05/15/2024 | Cover Page | Report |
| 12/19/2023 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
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Primary Firm SEC Registration
PAINE, WEBBER, JACKSON & CURTIS INC. | WEALTH MANAGEMENT USA | UBS PAINEWEBBER INC. | UBS FINANCIAL SERVICES INC. | PAINEWEBBER INCORPORATED | PAINEWEBBER INC.
State Registrations and Notice Filings
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 22 — Direct Participation Programs Representative Examination
Passed Jun 1986About the Series 22 examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jul 1983About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Services Offered by John
- Estate Planning
- Retirement Planning
- Socially Responsible Investing
- Investment Planning
- Comprehensive Financial Planning
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