Robert D. Tombolini
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.
Robert Dominick Tombolini, who also goes by Robert D Tombolini, Robert Domicnick Tombolini, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1989. Robert had worked at 6 firms and has passed the Series 66, Series 63, Series 52TO, Series 57TO, SIE, Series 55, Series 3, Series 7, Series 9, Series 10, Series 53, Series 14, Series 8, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 7, 2017 - May 14, 2025
UBS FINANCIAL SERVICES INC.
February 1, 2017 - May 14, 2025
UBS FINANCIAL SERVICES INC.
April 26, 2005 - June 24, 2016
CREDIT SUISSE SECURITIES (USA) LLC
April 26, 2005 - June 24, 2016
CREDIT SUISSE SECURITIES (USA) LLC
August 27, 2004 - May 4, 2005
CITICORP INVESTMENT SERVICES
August 26, 2004 - May 4, 2005
CITICORP INVESTMENT SERVICES
February 24, 2004 - August 16, 2004
CREDIT SUISSE SECURITIES (USA) LLC
January 17, 2003 - August 16, 2004
CREDIT SUISSE SECURITIES (USA) LLC
September 23, 1991 - January 17, 2003
PERSHING LLC
July 23, 1990 - June 7, 1991
SECURITIES SETTLEMENT CORPORATION
April 12, 1989 - October 9, 1991
JJC SECURITIES CO., 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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 9/21/2005
Limited Representative-Equity Trader ExamSeries 8
Date: 11/30/1989
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.
