Clayton D D. Bedford
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.
Clayton D Douglas Bedford, who also goes by Clayton Douglas Bedford, was a registered financial professional .
Clayton D is a previously registered financial professional and started their career in finance in 1990. Clayton D had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 8 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
June 6, 2013 - September 11, 2020
UBS FINANCIAL SERVICES INC.
June 7, 2007 - September 11, 2020
UBS FINANCIAL SERVICES INC.
December 2, 2005 - January 5, 2007
CAPITAL BROKERAGE CORPORATION
July 25, 2003 - March 10, 2005
MML DISTRIBUTORS, LLC
October 22, 2002 - July 8, 2003
SIGNATOR INVESTORS, INC.
April 25, 2001 - July 19, 2002
MANULIFE INVESTMENT MANAGEMENT (US) LLC
April 25, 2001 - July 19, 2002
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
October 11, 1996 - July 23, 2002
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
March 15, 1991 - October 4, 1996
SUTRO & CO. INCORPORATED
September 17, 1990 - March 4, 1991
PRUDENTIAL EQUITY GROUP, LLC
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 8
Date: 7/21/1995
General Securities Sales Supervisor Examination (Options Module & General Module)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.
