Tami B. Costas
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.
Tami B. Costas, who also goes by Tami B Abrams, Tami Beth Abrams, Tami Beth Birnbaum, Tami B Loew, Tami B. Loew, Tami Beth Loew, was a registered financial professional .
Tami is a previously registered financial professional and started their career in finance in 1986. Tami had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 3, 2009 - April 2, 2024
UBS FINANCIAL SERVICES INC.
November 26, 2008 - April 2, 2024
UBS FINANCIAL SERVICES INC.
March 9, 2006 - November 11, 2008
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2005 - March 15, 2006
OPPENHEIMER & CO. INC.
September 17, 2002 - January 3, 2005
WELLS FARGO CLEARING SERVICES, LLC
May 3, 2000 - October 10, 2002
UBS FINANCIAL SERVICES INC.
June 18, 1996 - February 3, 2000
WELLS FARGO CLEARING SERVICES, LLC
June 30, 1989 - June 10, 1996
SCHRODER & CO. INC.
April 20, 1988 - June 29, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
February 3, 1986 - January 30, 1988
M.L. STERN & CO., LLC.
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.
