AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
RK

Robert B. Karofsky

UBS FINANCIAL SERVICES
New York, NY 10019
Some features on this profile are disabled
CRD#: 1995080
RK

Professional summary

Robert Brooks Karofsky, who also goes by Robert Brooks Karofsky, is a registered financial professional currently at UBS FINANCIAL SERVICES INC. located in New York, New York and UBS SECURITIES LLC located in New York, New York.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1994. Robert has worked at 7 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Robert Brooks Karofsky

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Brooks Karofsky's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

July 10, 2024 - Present

UBS FINANCIAL SERVICES INC.

Office #1: 1285 Avenue Of The Americas 15 Thru 18th Floors, New York, NY 10019
RIA
BD
CRD#: 8174
New York, NY
Current

August 8, 2024 - Present

UBS SECURITIES LLC

Office #1: 1285 Avenue Of The Americas, New York, NY 10019
BD
CRD#: 7654
New York, NY
Current

February 20, 2026 - Present

UBS FUND SERVICES (USA) LLC

Office #1: 10 State House Square 12th Floor, Hartford, CT, 06103-3604
BD
CRD#: 41848
Hartford, CT
Current

February 20, 2026 - Present

UBS ASSET MANAGEMENT (US) INC.

Office #1: 1285 Avenue Of The Americas, New York, NY 10019
BD
CRD#: 583
NEW YORK, NY
Past

December 4, 2014 - July 8, 2024

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

March 15, 2011 - November 26, 2014

SANFORD C. BERNSTEIN & CO., LLC

BD
CRD#: 104474
NASHVILLE, TN
Past

April 27, 2005 - March 4, 2011

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

August 23, 1994 - April 21, 2005

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(7/10/2024)
RR
Alaska
(7/10/2024)
RR
Arizona
(8/28/2024)
RR
Arkansas
(7/15/2024)
RR
California
(7/11/2024)
RR
Colorado
(7/11/2024)
RR
Connecticut
(7/11/2024)
RR
Delaware
(7/17/2024)
RR
District of Columbia
(7/10/2024)
RR
Florida
(7/11/2024)
RR
Georgia
(7/11/2024)
RR
Hawaii
(7/15/2024)
RR
Idaho
(7/10/2024)
RR
Illinois
(2/26/2026)
RR
Indiana
(7/10/2024)
RR
Iowa
(7/16/2024)
RR
Kansas
(7/10/2024)
RR
Kentucky
(7/10/2024)
RR
Louisiana
(7/31/2024)
RR
Maine
(7/10/2024)
RR
Maryland
(7/12/2024)
RR
Massachusetts
(7/10/2024)
RR
Michigan
(7/12/2024)
RR
Minnesota
(7/10/2024)
RR
Mississippi
(7/10/2024)
RR
Missouri
(9/12/2024)
RR
Montana
(7/16/2024)
RR
Nebraska
(7/11/2024)
RR
Nevada
(7/10/2024)
RR
New Hampshire
(7/10/2024)
RR
New Jersey
(7/10/2024)
RR
New Mexico
(7/10/2024)
RR
New York
(7/10/2024)
RR
North Carolina
(7/10/2024)
RR
North Dakota
(7/15/2024)
RR
Ohio
(7/10/2024)
RR
Oklahoma
(7/15/2024)
RR
Oregon
(1/24/2025)
RR
Pennsylvania
(8/1/2024)
RR
Puerto Rico
(7/18/2024)
RR
Rhode Island
(7/11/2024)
RR
South Carolina
(7/10/2024)
RR
South Dakota
(7/10/2024)
RR
Tennessee
(7/11/2024)
RR
Texas
(7/10/2024)
RR
Utah
(7/10/2024)
RR
Vermont
(7/10/2024)
RR
Virginia
(7/11/2024)
RR
Washington
(7/10/2024)
RR
West Virginia
(7/15/2024)
RR
Wisconsin
(7/10/2024)
RR
Wyoming
(7/15/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 8/26/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 2/28/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 3
Date: 9/12/1994
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 8/22/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/12/1999
General Securities Principal Examination
SRO Registrations
RR
24X National Exchange LLC
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

UA
UBS ASSET MANAGEMENT (US) INC.
BRINSON ADVISORS | UBS GLOBAL ASSET MANAGEMENT (US) INC. | UBS GLOBAL ASSET MANAGEMENT | UBS ASSET MANAGEMENT (US) INC. | PAINE WEBBER MITCHELL HUTCHINS INC. | MITCHELL HUTCHINS ASSET MANAGEMENT INC. | BRINSON ADVISORS, INC.

CRD#: 583 / SEC#: , 8-21901

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1285 Avenue Of The Americas, New York, NY 10019
Mailing Address
1285 Avenue Of The Americas, New York, NY 10019
Phone number
(212) 821-3000
Established
Delaware since 05/05/1977
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
UBS AMERICAS INC.DIRECT OWNER
BELASCO, MICHAEL SCOTTPRESIDENT AND CEO4649742
HORAN, KATHLEEN ELIZABETHCHIEF FINANCIAL OFFICER - FINOP5188874
KEMPER, MARK FREDERICKSECRETARY AND CHIEF LEGAL COUNSEL4347419
MULLEN, BARRY JOHNCHIEF COMPLIANCE OFFICER1814958

Disclosures

Regulatory Event10

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.

Company Information

UBS ASSET MANAGEMENT (US) INC.

CRD#: 583New York, NY 10019

TRUST BUT VERIFY

Monitor Robert Karofsky

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Peter Faulkner Kettle
Peter KettleAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
PR
MINNEAPOLIS, MN
Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
Anita Narendra Srivastava
Anita SrivastavaAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
Paramus, NJ
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.