Allan D. Kiser
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.
Allan David Kiser, who also goes by Al David Kiser, was a registered financial professional .
Allan is a previously registered financial professional and started their career in finance in 1992. Allan had worked at 10 firms and has passed the Series 63, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 7, 2006 - July 16, 2012
UBS FINANCIAL SERVICES INC.
March 6, 2003 - January 31, 2005
AT INVESTOR SERVICES, INC.
May 5, 2001 - July 15, 2002
MML DISTRIBUTORS, LLC
May 1, 2001 - July 15, 2002
MML INVESTORS SERVICES, LLC
February 7, 2000 - October 5, 2000
IDS LIFE INSURANCE COMPANY
February 7, 2000 - October 5, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
June 5, 1998 - February 4, 2000
DWS DISTRIBUTORS, INC.
May 25, 1993 - March 3, 1994
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
May 25, 1993 - March 3, 1994
EQUITABLE ADVISORS, LLC
December 17, 1992 - April 30, 1993
DEAM INVESTOR SERVICES, 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
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.
