Sabine G. Kruta
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.
Sabine Garttner Kruta was a registered financial professional .
Sabine is a previously registered financial professional and started their career in finance in 1996. Sabine had worked at 7 firms and has passed the Series 66, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 12, 2013 - February 10, 2014
UBS FINANCIAL SERVICES INC.
September 10, 2013 - February 10, 2014
UBS FINANCIAL SERVICES INC.
March 29, 2012 - June 28, 2013
WELLS FARGO CLEARING SERVICES, LLC
March 28, 2012 - June 28, 2013
WELLS FARGO CLEARING SERVICES, LLC
April 19, 2010 - March 20, 2012
MORGAN STANLEY
November 3, 2009 - March 20, 2012
MORGAN STANLEY
June 29, 2009 - October 2, 2009
VALIC FINANCIAL ADVISORS, INC.
April 10, 2007 - March 4, 2009
UVEST FINANCIAL SERVICES GROUP, INC.
December 20, 2006 - March 4, 2009
UVEST FINANCIAL SERVICES GROUP, INC.
June 4, 2001 - August 23, 2004
WELLS FARGO CLEARING SERVICES, LLC
October 1, 2000 - August 23, 2004
WELLS FARGO CLEARING SERVICES, LLC
August 25, 1998 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
November 5, 1996 - July 29, 1998
WACHOVIA BROKERAGE SERVICE
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.
