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Edward H. Painter

Some features on this profile are disabled
CRD#: 1407117
EP

Professional summary

Edward Homer Painter was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Edward is a previously registered financial advisor and started their career in finance in 1985. Prior to being barred, Edward had worked at 11 firms, which includes UBS FINANCIAL SERVICES INC., CITIGROUP GLOBAL MARKETS INC., AMERIPRISE FINANCIAL SERVICES LLC, AMERIPRISE ADVISOR SERVICES INC., SBC WARBURG DILLON READ INC., UBS SECURITIES LLC, CIBC WORLD MARKETS CORP., CREDIT SUISSE SECURITIES (USA) LLC, KIDDER PEABODY & CO. INCORPORATED, GOLDMAN SACHS & CO. LLC, SALOMON BROTHERS INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

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®
None

Experience

Past

March 11, 2014 - June 24, 2015

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
NEW YORK, NY
Past

March 11, 2014 - June 24, 2015

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
NEW YORK, NY
Past

July 15, 2013 - March 21, 2014

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
NEW YORK, NY
Past

May 14, 2013 - March 21, 2014

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

April 13, 2010 - November 16, 2011

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
NEW YORK, NY
Past

October 5, 2009 - November 16, 2011

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
NEW YORK, NY
Past

September 1, 2006 - October 5, 2009

AMERIPRISE ADVISOR SERVICES, INC.

BD
CRD#: 5979
NEW YORK, NY
Past

February 21, 2001 - September 12, 2006

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
NEW YORK, NY
Past

June 18, 1998 - June 29, 1998

SBC WARBURG DILLON READ INC.

BD
CRD#: 1650
STAMFORD, CT
Past

June 18, 1998 - March 26, 2001

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

April 26, 1995 - June 26, 1998

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

September 8, 1992 - April 11, 1995

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

March 7, 1990 - September 16, 1992

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
NEW YORK, NY
Past

September 7, 1989 - March 17, 1990

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

September 24, 1985 - November 24, 1987

SALOMON BROTHERS INC.

BD
CRD#: 740

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.
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
IAR
Series 65
Date: 6/4/2013
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/10/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/24/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 4/5/1993
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 9/21/1985
General Securities Representative Examination

Current Firm

UBS FINANCIAL SERVICES INC.
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)
PREMIUM
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

UBS FINANCIAL SERVICES WRAP FEE PROGRAMS DISCLOSURE BROCHURE (11/13/2025)
FINANCIAL PLANNING SERVICES DISCLOSURE BROCHURE (3/31/2025)
RETIREMENT PLAN CONSULTING SERVICES PROGRAM (3/31/2025)

Direct owners and executive officers

NamePositionCRD#
UBS AMERICAS INC.OWNER
CAMACHO, MICHAEL ALANPRESIDENT2907298
FRANCOMANO, LISA M.CHIEF COMPLIANCE OFFICER FOR THE ADVISORY BUSINESS2263875
MATTONE, RALPHPRINCIPAL FINANCIAL OFFICER1840894
MOZER, PETERMANAGING DIRECTOR2523858
MUNFA, LAURENCHIEF COMPLIANCE OFFICER4431011
SAKAI, KIYEGENERAL COUNSEL7451987
SOMMA, JOSEPHPRINCIPAL OPERATIONS OFFICER2219496

Regulatory assets under management

Total Number of Accounts1,134,923
AUM (Assets Under Management)$ 808,822,670,899

Disclosures

Regulatory Event476
Civil Event5
Arbitration444

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
06/26/2025
Cover Page
Report
05/15/2024
Cover Page
Report
12/19/2023
Cover Page
Report

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.

Company Information

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

CRD#: 8174

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