BS
Barbara B. Shyloski
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CRD#: 2262691
BS
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.
Barbara Browning Shyloski, who also goes by Barbara Lynn Browning, Barbara Lynn Shyloski, was a registered financial professional .
Barbara is a previously registered financial professional and started their career in finance in 1992. Barbara had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Barbara Lynn Browning | Barbara Lynn Shyloski
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) CFA INSTITUTE 560 RAY C. HUNT DRIVE CHARLOTTESVILLE, VA 22903 / MEMBER OF THE INSTITUTE AND LOCAL CFA CHAPTER. /// 2) CFA INSTITUTE / 560 RAY C. HUNT DRIVE CHARLOTTESVILLE, VA 22903 / MEMBER OF THE DISCIPLINARY REVIEW COMMITTEE / NON PROFIT ORGANIZATION / 10 HOURS PER MONTH / INVOLVEMENT SINCE 04/01/2010 / POSITION HELD - COMMITTEE MEMBER. /// 3) CFA Institute / United States / 915 E. High Street, Charlottesville, Virginia 22902/ No Association (e.g. Trade or Industry, Sport) / cfainstitute.org / Financial (Consumer & Investment Services) / Member of the Institute and local CFA chapter. Also, serve on the CFA Institute Disciplinary Review Committee, which reviews potential conflicts of interests or ethical violations for Charterholders or Candidates. / Member of a committee with management / supervisor functions / As a member of this committee I will be involved in hearing panels made up of some (not all) members of the committee to review potential violations of ethical or professional standards. I will have the opportunity to opt out of certain cases if there is a conflict of interest or if an individual from a sanctioned country is being reviewed. I have reviewed cases from the last several years and the cases I saw were mainly from the US, Canada, India, France, Spain, Italy, Argentina, etc. This committee only reviews ethical standards but has no legal bearing on the individual. The most severed cases can result in the revocation of their CFA charter or candidacy if found to be cheating on the exam. / Receive Compensation Details: 4000 / Start Date 9/1/2010
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
March 14, 2008 - August 7, 2024
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
GREENSBORO, NC
Past
March 14, 2008 - August 7, 2024
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
GREENSBORO, NC
Past
October 12, 2005 - March 18, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
GREENSBORO, NC
Past
August 1, 2005 - March 18, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
GREENSBORO, NC
Past
June 17, 2002 - August 25, 2004
TODD SECURITIES, LLC
BD
CRD#: 116150
GREENSBORO, NC
Past
February 21, 1997 - February 9, 2000
WACHOVIA BROKERAGE SERVICE
BD
CRD#: 17503
WINSTON SALEM, NC
Past
October 19, 1992 - February 7, 1997
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
UBS FINANCIAL SERVICES INC.
PAINE, WEBBER, JACKSON & CURTIS INC. | WEALTH MANAGEMENT USA | UBS PAINEWEBBER INC. | UBS FINANCIAL SERVICES INC. | PAINEWEBBER INCORPORATED | PAINEWEBBER INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
RIA
Registered Investment Advisory firm - SEC (1/22/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
UBS FINANCIAL SERVICES INC.
PAINE, WEBBER, JACKSON & CURTIS INC. | WEALTH MANAGEMENT USA | UBS PAINEWEBBER INC. | UBS FINANCIAL SERVICES INC. | PAINEWEBBER INCORPORATED | PAINEWEBBER INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
RIA
Registered Investment Advisory firm - SEC (1/22/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
1200 Harbor Boulevard, Weehawken, NJ 07086
Mailing Address
315 Deaderick Street 3rd Fl, Compliance Department, Nashville, TN 37238
Phone number
(201) 352-3000
Established
Delaware since 06/30/1969
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
12,629
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.
