Wilhelm Nash
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.
Wilhelm Nash, who also goes by Wilhelm Louis Nash, William L Nash, William Louis Nash, was a registered financial advisor .
Wilhelm is a previously registered financial advisor and started their career in finance in 1992. Wilhelm had worked at 11 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 29, 2012 - March 5, 2014
UBS FINANCIAL SERVICES INC.
August 29, 2012 - March 5, 2014
UBS FINANCIAL SERVICES INC.
November 5, 2010 - September 24, 2012
CREDIT SUISSE SECURITIES (USA) LLC
November 5, 2010 - September 24, 2012
CREDIT SUISSE SECURITIES (USA) LLC
June 1, 2009 - November 18, 2010
MORGAN STANLEY
June 1, 2009 - November 18, 2010
MORGAN STANLEY
March 18, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
March 17, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
August 18, 2005 - March 26, 2008
J.P. MORGAN SECURITIES LLC
January 3, 2003 - August 31, 2005
LEGG MASON WOOD WALKER, INCORPORATED
July 26, 2002 - August 31, 2005
LEGG MASON WOOD WALKER, INCORPORATED
March 9, 2002 - August 8, 2002
RBC CAPITAL MARKETS, LLC
July 10, 1998 - March 9, 2002
TUCKER ANTHONY INCORPORATED
January 5, 1995 - June 17, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 7, 1993 - January 5, 1995
A. G. EDWARDS & SONS, INC.
November 10, 1992 - January 13, 1993
CITIGROUP GLOBAL 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
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 | 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.
