Theresa A. Ronald
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.
Theresa Ann Ronald, who also goes by Terry Koeman, Theresa Ann Koeman, Theresa Ann Spannbauer, was a registered financial professional .
Theresa is a previously registered financial professional and started their career in finance in 1993. Theresa had worked at 9 firms and has passed the Series 63, SIE, Series 31, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 6, 2016 - February 26, 2019
UBS FINANCIAL SERVICES INC.
April 6, 2016 - February 26, 2019
UBS FINANCIAL SERVICES INC.
September 12, 2014 - January 13, 2016
HEADWAY FINANCIAL PLANNING
July 2, 2014 - August 11, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
July 2, 2014 - August 11, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
March 1, 2012 - June 30, 2014
HEADWAY FINANCIAL PLANNING
February 11, 2011 - July 1, 2014
INTL ADVISORY CONSULTANTS INC.
February 11, 2011 - July 1, 2014
STERNE, AGEE & LEACH, INC.
December 13, 2006 - February 14, 2011
NOLLENBERGER CAPITAL PARTNERS INC.
December 13, 2006 - February 14, 2011
NOLLENBERGER CAPITAL PARTNERS INC.
July 8, 1997 - December 14, 2006
CITIGROUP GLOBAL MARKETS INC.
December 14, 1995 - December 14, 2006
CITIGROUP GLOBAL MARKETS INC.
November 8, 1994 - November 2, 1995
BA INVESTMENT SERVICES, INC.
September 21, 1993 - November 14, 1994
MORGAN STANLEY DW 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 8
Date: 3/1/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current 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 | 476 |
| Civil Event | 5 |
| Arbitration | 444 |
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.
