William T. Freebing
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.
William Thomas Freebing, who also goes by Bill Freebing, Will Freebing, William Freebing, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1985. William had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 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
February 19, 2010 - October 9, 2017
UBS FINANCIAL SERVICES INC.
February 19, 2010 - October 9, 2017
UBS FINANCIAL SERVICES INC.
March 7, 2008 - June 25, 2009
UBS FINANCIAL SERVICES INC.
March 7, 2008 - June 25, 2009
UBS FINANCIAL SERVICES INC.
December 17, 2007 - February 22, 2008
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
November 28, 2006 - August 29, 2007
LEGACY WEALTH MANAGEMENT INC
November 1, 2002 - January 13, 2006
FHN FINANCIAL SECURITIES CORP.
September 6, 1989 - January 10, 2002
FIDELITY BROKERAGE SERVICES LLC
March 22, 1988 - September 14, 1989
CAPITOL SECURITIES MANAGEMENT, INC.
May 21, 1985 - April 5, 1988
UBS FINANCIAL SERVICES 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 8
Date: 10/17/1989
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.
