Patrick W. Tobin
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.
Patrick William Tobin, who also goes by Patrick Tobin, was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1994. Patrick had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 25, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 9, 2007 - April 27, 2016
UBS FINANCIAL SERVICES INC.
February 9, 2007 - April 27, 2016
UBS FINANCIAL SERVICES INC.
May 15, 2006 - February 6, 2007
METROPOLITAN LIFE INSURANCE COMPANY
May 15, 2006 - February 6, 2007
MSI FINANCIAL SERVICES, INC.
February 7, 2005 - May 25, 2006
UBS FINANCIAL SERVICES INC.
November 22, 2004 - May 25, 2006
UBS FINANCIAL SERVICES INC.
January 5, 2004 - January 25, 2005
KABRIK TRADING LLC
July 14, 2003 - January 21, 2004
SHIELDS & COMPANY
August 15, 2002 - April 17, 2003
QUICK & REILLY, INC.
October 8, 2001 - April 1, 2003
APEX CLEARING CORPORATION
July 6, 1994 - August 31, 2001
UBS FINANCIAL 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
Series 25
Date: 4/30/2002
NYSE Trading Assistant ExaminationSeries 55
Date: 4/18/2000
Limited Representative-Equity Trader ExamCurrent 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.
