Sandra K. Cotton
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.
Sandra Kay Cotton, who also goes by Sandi Cotton, Sandra Kay Montgomery, was a registered financial professional .
Sandra is a previously registered financial professional and started their career in finance in 1985. Sandra had worked at 13 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 16, 2004 - January 17, 2018
UBS FINANCIAL SERVICES INC.
January 5, 2004 - January 17, 2018
UBS FINANCIAL SERVICES INC.
July 1, 2003 - January 7, 2004
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - January 7, 2004
WELLS FARGO CLEARING SERVICES, LLC
November 2, 1999 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
October 28, 1999 - November 11, 1999
RAYMOND JAMES & ASSOCIATES, INC.
October 28, 1999 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
September 29, 1998 - September 28, 1999
CITIGROUP GLOBAL MARKETS INC.
November 15, 1995 - August 25, 1998
PRUDENTIAL EQUITY GROUP, LLC
October 10, 1994 - October 31, 1995
JWGENESIS SECURITIES, INC.
March 17, 1994 - October 27, 1994
D. BLECH & COMPANY, INCORPORATED
August 9, 1993 - March 9, 1994
UBS FINANCIAL SERVICES INC.
June 16, 1992 - July 22, 1993
LEHMAN BROTHERS INC.
April 13, 1989 - April 20, 1992
MORGAN KEEGAN & COMPANY, LLC
November 2, 1988 - February 16, 1989
LEHMAN BROTHERS INC.
August 7, 1987 - June 1, 1988
GULFSTREAM FINANCIAL ASSOCIATES, INC.
July 6, 1987 - November 2, 1987
BOETTCHER & COMPANY, INC.
January 12, 1987 - July 14, 1987
JW GENESIS CLEARING CORP.
April 2, 1986 - December 5, 1986
FIRST FLORIDA SECURITIES GROUP, INC.
November 25, 1985 - April 1, 1986
JW GENESIS CLEARING CORP.
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.
