MR
Mary P. Rohman
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CRD#: 1302428
MR
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.
Mary Patricia Rohman, who also goes by Mary Mattson Kenworthy, Mary Mattson Mattson Kenworthy, Mary Patricia Mattson, Mary Patricia Mattson Kenworthy, Mary P Rohman, was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1984. Mary had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Mary Mattson Kenworthy | Mary Mattson Mattson Kenworthy | Mary Patricia Mattson | Mary Patricia Mattson Kenworthy | Mary P Rohman
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1)BRUCE MUSEUM DEVELOPMENT COMMITTEE (FORMER BOARD OF TRUSTEES)SIMMONS SCHOOL OF MANAGEMENT ADVISORY BOARD / THE BRUCE MUSEUM IS WHERE I SERVED AS BOARD OF TRUSTEES FOR THE PAST 6 YEARS AND AM NOW TAKING A MANDATORY ONE YEAR LEAVE FROM THE BOARD BUT AM STILL ON THE DEVELOPMENT COMMITTEE WHERE I HELP GUIDE THE BRUCE IN ITS MISSION; THE SIMMONS BOARD IS FOR-PROFIT / DEVELOPMENT COMMITTEE MEMBER AT THE BRUCE AND ADVISORY BOARD MEMBER AT SIMMONS / START DATE 10/29/2008 / 1 HR PER MONTH. 2) SIMMONS / 3X ANNUALLY BOARD MEETINGS TO ADVISE DEAN OF THE SCHOOL OF MANAGEMENT AS TO NEXT STEPS FOR EDUCATION OF SEASONED BUSINESS WOMEN / ADVISORY BOARD MEMBER / START DATE 01/02/2006 / 1 HR PER MONTH. 3)INTERNATIONAL WOMEN'S HEALTH COALITION / BOARD OF TRUSTEES / TRUSTEE / START DATE 07/20/2009 / 1 HR PER MONTH. 4)MARLBORO COLLEGEPOB / BOARD OF TRUSTEES / START DATE 2/06/2009 / 1 HR PER MONTH. 5)TRICINIUM LIMITED / 191 WASHINGTON STREET KEENE, NH 03431 / OTHER / SPORT & LEISURE FACILITIES / FACILITATED INTERDISCIPLINARY RESIDENCIES IN THE CREATION AND PERFORMANCE OF ORGINAL WORKS OF MUSIC-THEATER / IS THIS AN INDUSTRY SECTOR ORGANIZATION? NO / MEMBER OF BOARD OF DIRECTORS / PROVIDE GUIDENCE/ SUPPORT TO COTINUE ENSURE THE SUCCESS OF THE ORGANIZATION / WILL YOU HAVE AUTHORITY TO MAKE INVESTMENT DECISIONS ON BEHALF OF THE COMPANY? NO / START DATE 04/04/2011. 6) DELEGATION FOR FRIENDSHIP AMONG WOMEN / 18926 EAST LATIGO LANE RIO VERDE,AZ 85263 / Foundation/ Charities, Cultural, Educational & Political Organisations / MEETING WOMEN OF OTHER COUNTRIES / Member of Board of Directors / / DISCUSSIONS ABOUT WOMEN / Start Date 10/1/15 / ONE HOUR PER MONTH 7)INTERNATIONAL WOMEN'S FORUM / 2120 L STREET NW WASHINGTON,DC 20037 / Foundation/ Other WOMEN'S LEADERSHIP / GLOBAL WOMEN'S LEADERSHIP / Other / MEMBER OF THE MEMBERSHIP COMMITTEE / RECRUITING WOMEN LEADERS IN CT / Start Date 7/15/16-7/15/25 /
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
September 25, 2008 - October 17, 2022
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
STAMFORD, CT
Past
September 25, 2008 - October 17, 2022
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
STAMFORD, CT
Past
September 22, 2008 - October 8, 2008
BARCLAYS CAPITAL INC.
BD
CRD#: 19714
NEW YORK, NY
Past
June 20, 2008 - October 2, 2008
LEHMAN BROTHERS INC.
RIA
CRD#: 7506
NEW YORK, NY
Past
March 28, 2005 - September 22, 2008
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
May 1, 2001 - March 29, 2005
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
NEW YORK, NY
Past
August 11, 1992 - May 1, 2001
JPMSI
BD
CRD#: 15733
NEW YORK, NY
Past
July 8, 1987 - October 15, 1987
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
Past
September 20, 1984 - June 25, 1986
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
UBS FINANCIAL SERVICES INC.
PAINE, WEBBER, JACKSON & CURTIS INC. | WEALTH MANAGEMENT USA | UBS PAINEWEBBER INC. | UBS FINANCIAL SERVICES INC. | PAINEWEBBER INCORPORATED | PAINEWEBBER INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
RIA
Registered Investment Advisory firm - SEC (1/22/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
UBS FINANCIAL SERVICES INC.
PAINE, WEBBER, JACKSON & CURTIS INC. | WEALTH MANAGEMENT USA | UBS PAINEWEBBER INC. | UBS FINANCIAL SERVICES INC. | PAINEWEBBER INCORPORATED | PAINEWEBBER INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
RIA
Registered Investment Advisory firm - SEC (1/22/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
1200 Harbor Boulevard, Weehawken, NJ 07086
Mailing Address
315 Deaderick Street 3rd Fl, Compliance Department, Nashville, TN 37238
Phone number
(201) 352-3000
Established
Delaware since 06/30/1969
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
12,629
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.
