Keira M. Rawlings
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.
Keira Marie Rawlings, who also goes by Keira Marie Gallegos, was a registered financial professional .
Keira is a previously registered financial professional and started their career in finance in 1984. Keira had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10, Series 9, Series 28 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 14, 2017 - September 10, 2025
UBS FINANCIAL SERVICES INC.
January 30, 2017 - September 10, 2025
UBS FINANCIAL SERVICES INC.
January 7, 2010 - March 31, 2010
MORGAN STANLEY
June 1, 2009 - March 31, 2010
MORGAN STANLEY
December 11, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
December 13, 2006 - March 12, 2007
RAYMOND JAMES & ASSOCIATES, INC.
August 13, 2003 - December 31, 2004
CASCADE FINANCIAL MANAGEMENT, INC.
July 10, 2000 - August 16, 2001
CASCADE INVESTMENT GROUP, INC.
December 5, 1997 - July 22, 1998
WALL STREET DISCOVERIES, LLC
March 24, 1994 - October 25, 1996
CASCADE INVESTMENT GROUP, INC.
August 19, 1992 - January 19, 1994
DAIN RAUSCHER INCORPORATED
September 4, 1990 - October 11, 1991
WELLS FARGO CLEARING SERVICES, LLC
July 17, 1989 - September 4, 1990
BOETTCHER & COMPANY, INC.
November 21, 1984 - July 19, 1989
CITIGROUP GLOBAL MARKETS 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 28
Date: 3/1/1994
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent 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.
