Geoffrey C. Gill
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.
Geoffrey Charles Gill was a registered financial professional .
Geoffrey is a previously registered financial professional and started their career in finance in 1973. Geoffrey had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 5, Series 3, Series 000 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 20, 2010 - December 23, 2020
UBS FINANCIAL SERVICES INC.
August 13, 2010 - December 23, 2020
UBS FINANCIAL SERVICES INC.
November 19, 2003 - September 9, 2010
DEUTSCHE BANK SECURITIES INC.
January 13, 2001 - September 9, 2010
DEUTSCHE BANK SECURITIES INC.
September 1, 1997 - January 13, 2001
DB ALEX. BROWN LLC
June 11, 1991 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
August 8, 1987 - October 29, 1987
PAINEWEBBER REAL ESTATE SECURITIES INC.
January 5, 1981 - November 6, 1987
UBS FINANCIAL SERVICES INC.
February 19, 1980 - January 30, 1981
THOMSON MCKINNON SECURITIES INC.
September 14, 1979 - December 30, 1979
J.P. MORGAN SECURITIES LLC
April 13, 1973 - September 16, 1979
THE ROBINSON-HUMPHREY COMPANY, 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 5
Date: 12/8/1986
Interest Rate Options ExaminationSeries 000
Date: 4/11/1973
General Securities Principal ExaminationSeries 1
Date: 4/11/1973
Registered Representative 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.
