Debra C. Perry
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.
Debra Charlene Perry, who also goes by Debra Charlene Quick, was a registered financial professional .
Debra is a previously registered financial professional and started their career in finance in 1996. Debra had worked at 7 firms and has passed the Series 66, Series 63, SIE 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
January 5, 2015 - October 24, 2017
UBS FINANCIAL SERVICES INC.
November 19, 2014 - October 24, 2017
UBS FINANCIAL SERVICES INC.
April 2, 2007 - June 13, 2007
MORGAN STANLEY & CO. LLC
April 2, 2007 - June 13, 2007
MORGAN STANLEY & CO. LLC
July 13, 2004 - April 2, 2007
MORGAN STANLEY DW INC.
July 13, 2004 - April 2, 2007
MORGAN STANLEY DW INC.
May 21, 2002 - June 21, 2004
HORNOR, TOWNSEND & KENT, LLC
May 21, 2002 - June 21, 2004
HORNOR, TOWNSEND & KENT, LLC
April 14, 2000 - May 13, 2002
A. G. EDWARDS & SONS, INC.
April 22, 1997 - May 13, 2002
A. G. EDWARDS & SONS, INC.
February 13, 1997 - April 29, 1997
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
November 1, 1996 - April 29, 1997
ROBERT W. BAIRD & CO. INCORPORATED
April 12, 1996 - July 11, 1996
A. G. EDWARDS & SONS, 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.
