Linda K. Finley
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.
Linda Kathleen Finley, who also goes by Linda Kathleen Atkinson, Linda Atkinson, Linda K Byrd, Linda Kathleen Byrd, Linda K Finley, Linda K Williams, Linda Kathleen Williams, was a registered financial professional .
Linda is a previously registered financial professional and started their career in finance in 1987. Linda had worked at 6 firms and has passed the Series 63, SIE, Series 3, 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
June 8, 2012 - October 30, 2014
UBS FINANCIAL SERVICES INC.
April 13, 2011 - June 22, 2012
MORGAN STANLEY
July 23, 2010 - November 12, 2010
MORGAN STANLEY
June 1, 2009 - May 24, 2010
MORGAN STANLEY
July 30, 1999 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
January 2, 1998 - November 2, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 12, 1996 - November 4, 1997
UBS FINANCIAL SERVICES INC.
December 3, 1992 - July 30, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 2, 1990 - June 22, 1992
PRUDENTIAL EQUITY GROUP, LLC
September 6, 1988 - March 10, 1990
MML INVESTORS SERVICES, LLC
January 7, 1987 - August 9, 1988
PRUDENTIAL EQUITY GROUP, 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.
