Ambrose P. Hill
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.
Ambrose Powell Hill, who also goes by A.powell Hill, was a registered financial professional .
Ambrose is a previously registered financial professional and started their career in finance in 1972. Ambrose had worked at 7 firms and has passed the Series 65, Series 63, Series 52TO, Series 7TO, SIE, Series 15, Series 5, Series 1, Series 24 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 28, 1991 - January 23, 2025
UBS FINANCIAL SERVICES INC.
June 11, 1984 - January 23, 2025
UBS FINANCIAL SERVICES INC.
March 2, 1981 - July 9, 1984
MORGAN STANLEY DW INC.
October 26, 1978 - March 27, 1981
THOMSON MCKINNON SECURITIES INC.
September 16, 1977 - December 3, 1978
PRUDENTIAL EQUITY GROUP, LLC
October 6, 1976 - September 16, 1977
SHIELDS MODEL ROLAND INCORPORATED
April 3, 1975 - October 27, 1976
THE ROBINSON-HUMPHREY COMPANY, LLC
December 26, 1972 - May 7, 1975
REYNOLDS SECURITIES, 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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 15
Date: 8/2/1985
Foreign Currency Options ExaminationSeries 5
Date: 12/12/1981
Interest Rate Options ExaminationSeries 1
Date: 12/18/1972
Registered Representative ExaminationSeries 12
Date: 11/23/1979
NYSE Branch Manager ExaminationCurrent 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.
