Tove M. Stakkestad
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.
Tove Maren Stakkestad, who also goes by Tove Maren Clingman, Tove Maren Hill, was a registered financial professional .
Tove is a previously registered financial professional and started their career in finance in 1998. Tove had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 20, 2014 - September 8, 2015
UBS FINANCIAL SERVICES INC.
October 20, 2014 - September 8, 2015
UBS FINANCIAL SERVICES INC.
January 22, 2009 - November 14, 2014
BARCLAYS CAPITAL INC.
September 22, 2008 - November 14, 2014
BARCLAYS CAPITAL INC.
April 1, 2005 - October 15, 2008
LEHMAN BROTHERS INC.
March 31, 2005 - September 22, 2008
LEHMAN BROTHERS INC.
May 13, 2004 - April 5, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 29, 2004 - April 5, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 16, 2001 - February 14, 2003
KASHNER DAVIDSON SECURITIES CORPORATION
January 18, 2000 - January 2, 2001
STERLING FINANCIAL INVESTMENT GROUP, INC.
November 1, 1999 - February 3, 2000
FIRST COLONIAL SECURITIES
July 2, 1998 - October 4, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
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 | 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.
