Rebecca L. Coddington
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.
Rebecca Lea Coddington, who also goes by Beckie Coddington, Rebecca L. Coddington, Rebecca Coddington, Beckie Forsyth, Rebecca Lea Forsyth, was a registered financial professional .
Rebecca is a previously registered financial professional and started their career in finance in 1987. Rebecca had worked at 6 firms and has passed the Series 63, Series 7TO, SIE 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
February 28, 2011 - September 16, 2021
UBS FINANCIAL SERVICES INC.
May 3, 2010 - March 3, 2011
MORGAN STANLEY
January 22, 2009 - May 5, 2009
UBS FINANCIAL SERVICES INC.
May 14, 2004 - February 12, 2009
CITIGROUP GLOBAL MARKETS INC.
May 7, 1993 - December 16, 1994
ALEX. BROWN & SONS INCORPORATED
November 1, 1991 - May 24, 1993
PRUDENTIAL EQUITY GROUP, LLC
March 18, 1991 - October 22, 1991
ALEX. BROWN & SONS INCORPORATED
February 4, 1991 - March 22, 1991
UBS FINANCIAL SERVICES INC.
August 16, 1990 - January 29, 1991
ALEX. BROWN & SONS INCORPORATED
August 20, 1987 - August 3, 1990
THE ROBINSON-HUMPHREY COMPANY, 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
Series 7TO
Date: 8/9/2022
General Securities Representative ExaminationCurrent 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.
