Ann M. Sandberg
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.
Ann M Sandberg, who also goes by Ann Maria Sandberg, Maria Ann Sandberg, Ann Maria Skopac, Ann Skopac, was a registered financial professional .
Ann is a previously registered financial professional and started their career in finance in 1992. Ann had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 31, Series 7, Series 24, Series 23 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
October 21, 2014 - August 16, 2018
UBS FINANCIAL SERVICES INC.
October 21, 2014 - August 16, 2018
UBS FINANCIAL SERVICES INC.
April 15, 2013 - October 10, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 15, 2013 - October 10, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 1, 2012 - March 28, 2013
LEGACY ASSET MANAGEMENT, INC.
May 1, 2012 - March 28, 2013
LEGACY ASSET SECURITIES, INC.
October 15, 2010 - April 19, 2012
RBC CAPITAL MARKETS, LLC
October 15, 2010 - April 19, 2012
RBC CAPITAL MARKETS, LLC
April 27, 2010 - October 25, 2010
MORGAN STANLEY
April 26, 2010 - October 25, 2010
MORGAN STANLEY
July 25, 2006 - June 22, 2009
CITIGROUP GLOBAL MARKETS INC.
May 24, 2006 - June 22, 2009
CITIGROUP GLOBAL MARKETS INC.
October 7, 2002 - June 1, 2006
UBS FINANCIAL SERVICES INC.
October 7, 2002 - June 1, 2006
UBS FINANCIAL SERVICES INC.
July 6, 1994 - October 8, 2002
CITIGROUP GLOBAL MARKETS INC.
June 17, 1992 - April 18, 1994
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
Series 8
Date: 6/22/1998
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.
