Patricia Mosca
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.
Patricia Mosca, who also goes by Patricia A Liardo, Patricia Adriana Liardo, Patricia Andriana Liardo, Patricia Liardo Mosca, Patricia L Mosca, was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 1989. Patricia had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9, Series 10 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
October 6, 2017 - April 9, 2026
UBS FINANCIAL SERVICES INC.
October 6, 2017 - April 9, 2026
UBS FINANCIAL SERVICES INC.
August 11, 2016 - September 15, 2017
OSAIC FS, INC.
August 10, 2016 - September 15, 2017
OSAIC FS, INC.
August 10, 2016 - September 15, 2017
OSAIC FA, INC.
October 17, 2011 - February 19, 2016
MORGAN STANLEY
October 17, 2011 - February 19, 2016
MORGAN STANLEY
June 25, 2010 - October 3, 2011
UBS FINANCIAL SERVICES INC.
June 25, 2010 - October 3, 2011
UBS FINANCIAL SERVICES INC.
May 28, 2010 - June 10, 2010
WELLS FARGO CLEARING SERVICES, LLC
October 16, 2009 - June 10, 2010
WELLS FARGO CLEARING SERVICES, LLC
February 21, 2006 - April 22, 2009
CITIGROUP GLOBAL MARKETS INC.
November 19, 2004 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
April 18, 1999 - November 17, 2004
1717 CAPITAL MANAGEMENT COMPANY
November 26, 1997 - March 4, 1999
CITIGROUP GLOBAL MARKETS INC.
August 29, 1997 - September 24, 1997
SEI INVESTMENTS DISTRIBUTION CO.
August 18, 1992 - July 10, 1997
RYAN BECK & CO.
December 5, 1989 - January 16, 1991
LEGG MASON WOOD WALKER, INCORPORATED
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 | 476 |
| Civil Event | 5 |
| Arbitration | 444 |
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.
