Mark R. Poole
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.
Mark R Poole, who also goes by Mark Randolph Poole, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1984. Mark had worked at 5 firms and has passed the Series 65, Series 63, Series 31, Series 15, Series 5, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 22, 2013 - August 20, 2014
UBS FINANCIAL SERVICES INC.
February 20, 2013 - August 20, 2014
UBS FINANCIAL SERVICES INC.
February 14, 2008 - April 13, 2012
UBS FINANCIAL SERVICES INC.
February 14, 2008 - April 13, 2012
UBS FINANCIAL SERVICES INC.
April 2, 2007 - February 21, 2008
MORGAN STANLEY & CO. LLC
April 2, 2007 - February 21, 2008
MORGAN STANLEY & CO. LLC
November 2, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
December 3, 2004 - April 2, 2007
MORGAN STANLEY DW INC.
May 25, 2004 - September 20, 2004
1717 CAPITAL MANAGEMENT COMPANY
March 26, 2004 - September 20, 2004
1717 CAPITAL MANAGEMENT COMPANY
October 23, 2003 - March 15, 2004
NATIONWIDE SECURITIES, LLC
April 18, 1984 - January 7, 2002
MORGAN STANLEY DW INC.
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
Series 15
Date: 2/1/1993
Foreign Currency Options ExaminationSeries 5
Date: 5/31/1991
Interest Rate Options ExaminationSeries 8
Date: 2/22/1991
General Securities Sales Supervisor Examination (Options Module & General Module)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.
