Scott M. Fitzgerald
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.
Scott Manuel Fitzgerald, CFP® was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1991. Scott had worked at 10 firms and has passed the Series 63, Series 52TO, SIE, Series 55, Series 7, Series 6, Series 53, Series 4 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
Start date: 2006
Experience
November 4, 2024 - January 20, 2026
UBS FINANCIAL SERVICES INC.
November 4, 2024 - January 20, 2026
UBS FINANCIAL SERVICES INC.
February 22, 2016 - November 10, 2024
OSAIC WEALTH, INC.
February 22, 2016 - November 10, 2024
OSAIC WEALTH, INC.
January 7, 2002 - February 24, 2016
VANDERBILT SECURITIES, LLC
June 18, 1996 - January 7, 2002
PRIME CAPITAL SERVICES, INC.
February 1, 1995 - June 20, 1996
FISERV INVESTOR SERVICES, INC.
June 10, 1993 - February 1, 1995
CAPITAL BROKERAGE CORPORATION
September 17, 1992 - June 11, 1993
PRIME CAPITAL SERVICES, INC.
March 23, 1992 - September 1, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
March 23, 1992 - September 1, 1992
PRUCO SECURITIES, LLC.
June 18, 1991 - December 20, 1991
METROPOLITAN LIFE INSURANCE COMPANY
June 18, 1991 - December 20, 1991
MSI 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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 55
Date: 6/26/2002
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.
