Roberta S. Berman
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.
Roberta Sue Berman, who also goes by Roberta Sue Hoffman, was a registered financial professional .
Roberta is a previously registered financial professional and started their career in finance in 1986. Roberta had worked at 8 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 29, 2013 - March 17, 2014
UBS FINANCIAL SERVICES INC.
December 2, 2011 - August 29, 2013
MORGAN STANLEY
November 1, 2011 - August 29, 2013
MORGAN STANLEY
August 15, 2005 - November 9, 2011
UBS FINANCIAL SERVICES INC.
July 1, 2003 - July 11, 2005
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - July 11, 2005
WELLS FARGO CLEARING SERVICES, LLC
January 3, 1997 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
December 23, 1996 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
May 9, 1995 - December 9, 1996
UBS FINANCIAL SERVICES INC.
November 9, 1990 - April 27, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 15, 1988 - November 19, 1990
LEHMAN BROTHERS INC.
November 11, 1986 - September 21, 1988
DREXEL BURNHAM LAMBERT INCORPORATED
November 7, 1986 - November 14, 1986
KIDDER, PEABODY & CO. INCORPORATED
July 23, 1986 - October 28, 1986
PRUDENTIAL EQUITY GROUP, LLC
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.
