Robert W. Flaherty
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.
Robert Ward Flaherty was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1970. Robert had worked at 7 firms and has passed the Series 65, Series 63, Series 000, Series 1, Series 12 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 28, 2009 - May 2, 2014
UBS FINANCIAL SERVICES INC.
April 24, 2009 - May 2, 2014
UBS FINANCIAL SERVICES INC.
July 1, 2003 - April 27, 2009
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - April 27, 2009
WELLS FARGO CLEARING SERVICES, LLC
January 3, 1997 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
January 14, 1991 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
September 4, 1990 - January 28, 1991
WELLS FARGO CLEARING SERVICES, LLC
February 4, 1980 - September 4, 1990
BLUNT ELLIS & LOEWI INCORPORATED
February 4, 1978 - February 28, 1980
MORGAN STANLEY DW INC.
August 2, 1974 - February 24, 1978
REYNOLDS SECURITIES, INC.
September 11, 1970 - August 31, 1974
HAYDEN STONE 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 000
Date: 5/22/1967
General Securities Principal ExaminationSeries 1
Date: 5/22/1967
Registered Representative ExaminationSeries 12
Date: 12/13/1978
NYSE Branch Manager ExaminationSeries 40
Date: 10/17/1978
Registered Principal ExaminationCurrent 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.
