Donna M. Kuegel
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.
Donna Marie Kuegel, who also goes by Donna M Kuegel, was a registered financial professional .
Donna is a previously registered financial professional and started their career in finance in 1988. Donna had worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6, Series 9, Series 10 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 15, 2016 - February 17, 2017
UBS FINANCIAL SERVICES INC.
April 15, 2016 - February 17, 2017
UBS FINANCIAL SERVICES INC.
March 7, 2012 - April 19, 2016
CREDIT SUISSE SECURITIES (USA) LLC
March 7, 2012 - April 19, 2016
CREDIT SUISSE SECURITIES (USA) LLC
April 19, 2010 - November 16, 2010
WELLS FARGO INVESTMENTS, LLC
April 19, 2010 - November 16, 2010
WELLS FARGO INVESTMENTS, LLC
January 30, 2007 - February 22, 2010
WELLS FARGO INVESTMENTS, LLC
January 3, 2007 - February 22, 2010
WELLS FARGO INVESTMENTS, LLC
April 25, 2002 - January 9, 2006
PACIFIC FINANCIAL RESEARCH INVESTMENT MANAGEMENT
April 9, 2001 - March 26, 2002
FUNDS DISTRIBUTOR, LLC
May 17, 1999 - April 9, 2001
UAM FUND DISTRIBUTORS, INC.
January 18, 1993 - May 5, 1997
WM FUND SERVICES, INC.
March 12, 1990 - January 12, 1993
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
June 28, 1988 - March 7, 1990
MIDVALE SECURITIES CORPORATION
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.
