Raphael M. Kelly
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.
Raphael Michael Kelly, who also goes by Ralph Dozier Kelly, Ray Kelly, was a registered financial professional .
Raphael is a previously registered financial professional and started their career in finance in 1970. Raphael had worked at 6 firms and has passed the Series 65, Series 63, SIE, PC, Series 1, Series 4, Series 12 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 16, 1988 - February 9, 2017
UBS FINANCIAL SERVICES INC.
June 16, 1988 - February 9, 2017
UBS FINANCIAL SERVICES INC.
April 11, 1988 - July 6, 1988
LEHMAN BROTHERS INC.
February 6, 1974 - January 30, 1984
E. F. HUTTON & COMPANY INC
February 1, 1974 - April 11, 1988
E. F. HUTTON & COMPANY INC
July 2, 1973 - March 27, 1974
DUPONT WALSTON, INCORPORATED
May 19, 1972 - July 2, 1973
DUPONT, GLORE, FORGAN
September 11, 1970 - June 15, 1972
HAYDEN STONE 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
PC
Date: 5/26/1977
AMEX Put and Call ExamSeries 1
Date: 8/6/1965
Registered Representative ExaminationSeries 12
Date: 2/15/1969
NYSE Branch Manager ExaminationSeries 40
Date: 2/15/1969
Registered Principal 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.
