Richard W. Kite
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.
Richard Willis Kite was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1969. Richard had worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 15, Series 5, Series 1, Series 10, Series 53, Series 9, Series 24, Series 4 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
February 11, 2005 - May 8, 2024
UBS FINANCIAL SERVICES INC.
February 11, 2005 - January 6, 2025
UBS FINANCIAL SERVICES INC.
August 24, 1998 - February 14, 2005
MORGAN STANLEY DW INC.
February 18, 1998 - February 14, 2005
MORGAN STANLEY DW INC.
September 12, 1978 - February 18, 1998
UBS FINANCIAL SERVICES INC.
May 6, 1976 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
June 26, 1974 - May 29, 1976
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
June 14, 1972 - July 10, 1974
ROBERTS, SCOTT & CO., INC.
May 15, 1969 - July 2, 1972
DUPONT WALSTON, INCORPORATED
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 15
Date: 1/31/1984
Foreign Currency Options ExaminationSeries 5
Date: 10/12/1981
Interest Rate Options ExaminationSeries 1
Date: 5/12/1969
Registered Representative ExaminationSeries 40
Date: 9/6/1977
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.
Company Information
UBS FINANCIAL SERVICES INC.
Senior Vice President–Wealth ManagementCRD#: 8174TRUST BUT VERIFY
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