Con S. Massey
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.
Con Smith Massey, who also goes by Con Smith Massey III, Trey Massey, was a registered financial professional .
Con is a previously registered financial professional and started their career in finance in 1988. Con had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 8 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
February 1, 2012 - March 23, 2015
UBS FINANCIAL SERVICES INC.
February 1, 2012 - March 23, 2015
UBS FINANCIAL SERVICES INC.
November 9, 2010 - February 2, 2012
WELLS FARGO CLEARING SERVICES, LLC
October 4, 2010 - February 2, 2012
WELLS FARGO CLEARING SERVICES, LLC
February 10, 2009 - March 18, 2009
STANFORD GROUP COMPANY
January 12, 2004 - November 10, 2004
UBS CAPITAL MARKETS L.P.
April 21, 1999 - January 12, 2004
SOUNDVIEW TECHNOLOGY CORPORATION
August 27, 1998 - March 12, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 22, 1998 - November 10, 1998
MIDLAND WALWYN CAPITAL CORPORATION
May 7, 1997 - December 18, 1997
HARRIS NESBITT CORP.
February 23, 1988 - May 14, 1997
MORGAN STANLEY DW 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: 11/3/1997
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.
