Marjorie A. Adams
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.
Marjorie A Adams, who also goes by Marjorie H Dailey, Marjorie A Hammett, Marjorie Hammett, Marjorie A Hunsinger, Marjorie Ann Hunsinger, Marjorie A Stone, Marjorie Stone, was a registered financial professional .
Marjorie is a previously registered financial professional and started their career in finance in 1987. Marjorie had worked at 9 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 7, 2010 - December 14, 2022
UBS FINANCIAL SERVICES INC.
June 14, 2010 - December 14, 2022
UBS FINANCIAL SERVICES INC.
June 1, 2009 - April 26, 2010
MORGAN STANLEY
June 1, 2009 - April 26, 2010
MORGAN STANLEY
January 8, 2004 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
December 11, 2003 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
September 24, 2003 - December 9, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 14, 1995 - January 27, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 18, 1991 - July 11, 1995
IDS LIFE INSURANCE COMPANY
April 18, 1991 - July 11, 1995
AMERIPRISE FINANCIAL SERVICES, LLC
May 14, 1988 - July 11, 1988
LEHMAN BROTHERS INC.
March 29, 1988 - March 4, 1991
MORGAN STANLEY DW INC.
March 25, 1987 - May 14, 1988
E. F. HUTTON & COMPANY 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
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.
