Linda M. Frainie
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.
Linda Marie Frainie, who also goes by Linda Marie Landa, Linda Marie Malin, was a registered financial professional .
Linda is a previously registered financial professional and started their career in finance in 1985. Linda had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 10, Series 9 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
June 8, 2010 - June 23, 2021
UBS FINANCIAL SERVICES INC.
June 7, 2010 - June 23, 2021
UBS FINANCIAL SERVICES INC.
June 1, 2009 - June 23, 2010
MORGAN STANLEY
June 1, 2009 - June 23, 2010
MORGAN STANLEY
December 8, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
December 8, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
June 22, 2006 - December 11, 2006
UBS FINANCIAL SERVICES INC.
May 18, 2006 - December 11, 2006
UBS FINANCIAL SERVICES INC.
March 14, 2005 - April 21, 2006
MORGAN STANLEY DW INC.
January 25, 2005 - March 31, 2005
CITIGROUP GLOBAL MARKETS INC.
March 12, 2001 - January 25, 2005
MORGAN STANLEY DW INC.
September 11, 1997 - August 7, 2000
WELLS FARGO SECURITIES, LLC
April 23, 1997 - October 1, 1997
UBS FINANCIAL SERVICES INC.
September 1, 1993 - March 26, 1997
ROTH CAPITAL PARTNERS, LLC
March 9, 1993 - August 14, 1993
UBS FINANCIAL SERVICES INC.
September 30, 1991 - October 24, 1991
SUTRO & CO. INCORPORATED
September 4, 1990 - November 13, 1990
WELLS FARGO CLEARING SERVICES, LLC
September 24, 1986 - September 4, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
July 3, 1986 - September 15, 1986
PRUDENTIAL EQUITY GROUP, LLC
October 23, 1985 - September 4, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
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 8
Date: 3/27/1990
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.
