Ronda E. Didio
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.
Ronda Elaine Didio, who also goes by Ronda Elaine Di Dio, Didio Didio, Ronda E Didio, Ronda Didio, Ronda Elaine Huckabone ^, Ronda Elaine Huckabone, Ronda Elaine Woelkers ^, Ronda Elaine Woelkers, was a registered financial professional .
Ronda is a previously registered financial professional and started their career in finance in 1998. Ronda had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 11 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 10, 2023 - June 18, 2024
UBS FINANCIAL SERVICES INC.
November 10, 2023 - June 18, 2024
UBS FINANCIAL SERVICES INC.
June 12, 2023 - September 6, 2023
CADARET, GRANT & CO., INC.
June 12, 2023 - September 6, 2023
CADARET, GRANT & CO., INC.
April 17, 2018 - August 3, 2022
MORGAN STANLEY
April 17, 2018 - August 3, 2022
MORGAN STANLEY
March 4, 2011 - July 27, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 10, 2011 - July 27, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 1, 2008 - January 18, 2011
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - January 18, 2011
WELLS FARGO CLEARING SERVICES, LLC
February 3, 2004 - January 1, 2008
A. G. EDWARDS & SONS, INC.
November 20, 2000 - January 3, 2008
A. G. EDWARDS & SONS, INC.
September 4, 1998 - September 27, 2000
KEYBANC CAPITAL MARKETS INC.
May 14, 1998 - September 4, 1998
ESSEX CAPITAL MARKETS, 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 11
Date: 5/8/1998
Assistant Representative-Order Processing Qualification 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.
