Mark M. Boehme
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.
Mark Macklin Boehme was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1993. Mark had worked at 7 firms and has passed the Series 66, Series 63, Series 52TO, Series 57TO, SIE, Series 3, Series 55, Series 7, Series 16, Series 9, Series 10, Series 53, Series 24 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
November 23, 2009 - September 17, 2024
UBS FINANCIAL SERVICES INC.
October 28, 2006 - September 17, 2024
UBS SECURITIES LLC
August 14, 2006 - September 17, 2024
UBS FINANCIAL SERVICES INC.
June 6, 2006 - August 17, 2006
INVESTEC SECURITIES (US) LLC
April 23, 2004 - January 12, 2005
J.P. MORGAN SECURITIES INC.
August 2, 2002 - July 31, 2003
BMO CAPITAL MARKETS CORP.
January 16, 2002 - March 27, 2002
FIRST NEW YORK SECURITIES L.L.C.
July 2, 1993 - November 14, 2000
COMMERZBANK CAPITAL MARKETS CORP.
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 52TO
Date: 7/26/2023
Municipal Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 1/22/2002
Limited Representative-Equity Trader ExamSeries 8
Date: 11/3/1998
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.
