Nicholas G. Marotta
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.
Nicholas Gene Marotta II, who also goes by Nicholas G Marotta, Nicholas Gene Marotta II, Nicholas Gene Marotta Jr, Nicholas Gene Jr Marotta, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 1986. Nicholas had worked at 11 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 6, 2010 - June 6, 2019
UBS FINANCIAL SERVICES INC.
April 4, 2007 - June 23, 2010
UBS FINANCIAL SERVICES INC.
April 14, 2005 - April 9, 2007
UBS SERVICES USA LLC
November 16, 2004 - May 10, 2005
UBS FINANCIAL SERVICES INC.
February 6, 2004 - August 2, 2004
RBC CAPITAL MARKETS CORPORATION
April 22, 2003 - February 6, 2004
RBC CAPITAL MARKETS, LLC
February 20, 2002 - April 2, 2003
CANACCORD GENUITY SECURITIES LLC
May 17, 2000 - November 8, 2001
GRUNTAL & CO., L.L.C.
February 1, 2000 - April 14, 2000
J.P. MORGAN SECURITIES INC.
October 4, 1994 - February 1, 2000
HAMBRECHT & QUIST LLC
November 1, 1993 - July 25, 1994
CITIGROUP GLOBAL MARKETS INC.
June 9, 1992 - November 1, 1993
LEHMAN BROTHERS INC.
July 9, 1987 - August 8, 1991
CREDIT SUISSE SECURITIES (USA) LLC
May 21, 1986 - July 6, 1987
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 55
Date: 5/24/1999
Limited Representative-Equity Trader ExamCurrent 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.
