Kimberly D. Morris
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.
Kimberly Diane Morris, who also goes by Kimberly D Morris, was a registered financial professional .
Kimberly is a previously registered financial professional and started their career in finance in 1988. Kimberly had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 14, 2014 - April 28, 2023
UBS FINANCIAL SERVICES INC.
August 14, 2014 - April 28, 2023
UBS FINANCIAL SERVICES INC.
May 15, 2012 - August 12, 2014
BMO HARRIS FINANCIAL ADVISORS, INC.
April 2, 2012 - August 12, 2014
BMO HARRIS FINANCIAL ADVISORS, INC.
April 23, 2009 - September 4, 2009
HARRISDIRECT LLC
April 23, 2009 - September 4, 2009
E*TRADE SECURITIES LLC
October 24, 2008 - October 27, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 24, 2008 - October 27, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 4, 2008 - October 24, 2008
LASALLE FINANCIAL SERVICES, INC.
September 4, 2008 - October 24, 2008
LASALLE FINANCIAL SERVICES, INC.
December 4, 2007 - July 2, 2008
J.P. MORGAN SECURITIES INC.
November 14, 2007 - July 2, 2008
J.P. MORGAN SECURITIES INC.
July 7, 1988 - June 12, 2007
CHARLES SCHWAB & CO., 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: 4/19/1994
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.
