Donald C. Hofstadter
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.
Donald Charles Hofstadter, who also goes by Donald C Hofstadter, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1970. Donald had worked at 6 firms and has passed the Series 65, Series 63, Series 5, PC, Series 000 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 1, 2010 - January 16, 2014
UBS FINANCIAL SERVICES INC.
January 1, 2010 - January 16, 2014
UBS FINANCIAL SERVICES INC.
June 3, 2002 - January 1, 2010
UBS INTERNATIONAL INC.
June 3, 2002 - January 1, 2010
UBS INTERNATIONAL INC.
March 18, 1997 - June 1, 2002
UBS FINANCIAL SERVICES INC.
March 5, 1997 - June 3, 2002
UBS FINANCIAL SERVICES INC.
September 21, 1981 - March 5, 1997
LEHMAN BROTHERS INC.
September 26, 1978 - October 29, 1981
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 3, 1974 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
March 20, 1970 - July 29, 1972
P OPPENHEIMER & CO
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 5
Date: 10/17/1981
Interest Rate Options ExaminationPC
Date: 9/1/1977
AMEX Put and Call ExamSeries 000
Date: 2/7/1964
General Securities Principal ExaminationSeries 1
Date: 6/11/1959
Registered Representative 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.
