Kathleen Rashleigh
Professional summary
Kathleen Rashleigh was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Kathleen is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Kathleen had worked at 7 firms, which includes UBS FINANCIAL SERVICES INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, TD AMERITRADE INC., TD AMERITRADE INVESTMENT MANAGEMENT LLC, CITIGROUP GLOBAL MARKETS INC., KFS BD INC., LEHMAN BROTHERS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 18, 2009 - February 6, 2025
UBS FINANCIAL SERVICES INC.
February 17, 2009 - February 6, 2025
UBS FINANCIAL SERVICES INC.
April 11, 2008 - February 2, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 8, 2008 - February 2, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 11, 2008 - February 4, 2008
TD AMERITRADE, INC.
January 11, 2008 - February 4, 2008
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
December 11, 2007 - February 4, 2008
TD AMERITRADE, INC.
May 16, 1997 - January 13, 1999
CITIGROUP GLOBAL MARKETS INC.
January 4, 1995 - February 4, 1997
KFS BD, INC.
July 31, 1993 - January 12, 1994
CITIGROUP GLOBAL MARKETS INC.
February 11, 1993 - July 31, 1993
LEHMAN BROTHERS 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: 3/22/1993
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.
