Nannette M. Lewis
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.
Nannette M Lewis, who also goes by Nannette Mary Campbell, Nannette Campbell, Nannett Mary Lewis, Nannette Mary Lewis, Nannett Mary Shepherd, Nannette Mary Shepherd, was a registered financial professional .
Nannette is a previously registered financial professional and started their career in finance in 1992. Nannette had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 55 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
November 17, 2014 - January 22, 2025
UBS FINANCIAL SERVICES INC.
November 17, 2014 - January 22, 2025
UBS FINANCIAL SERVICES INC.
November 20, 2012 - November 21, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 13, 2012 - November 21, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 13, 2007 - July 29, 2009
INVEST FINANCIAL CORPORATION
March 24, 2005 - July 16, 2007
MUTUAL SERVICE CORPORATION
July 19, 1995 - February 22, 2005
J. BYRNE & CO., INC.
January 11, 1994 - May 31, 1995
CITIGROUP GLOBAL MARKETS INC.
June 14, 1993 - February 8, 1994
INVEST FINANCIAL CORPORATION
July 22, 1992 - June 22, 1993
IMPACT FINANCIAL NETWORK, 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 55
Date: 4/27/2000
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.
