Jodi M. Burnett
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.
Jodi Michelle Burnett, who also goes by Jodi Michelle Noller, was a registered financial professional .
Jodi is a previously registered financial professional and started their career in finance in 1997. Jodi had worked at 7 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 31, Series 7, Series 6, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 16, 2014 - June 1, 2022
UBS FINANCIAL SERVICES INC.
January 16, 2014 - June 1, 2022
UBS FINANCIAL SERVICES INC.
September 19, 2013 - January 23, 2014
MORGAN STANLEY
September 19, 2013 - January 23, 2014
MORGAN STANLEY
September 21, 2012 - September 23, 2013
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
September 11, 2012 - September 23, 2013
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 12, 2006 - December 22, 2011
CHARLES SCHWAB & CO., INC.
September 27, 1999 - December 22, 2011
CHARLES SCHWAB & CO., INC.
September 3, 1997 - October 20, 1999
MORGAN STANLEY DW INC.
January 24, 1997 - August 21, 1997
FORESTERS FINANCIAL SERVICES, 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
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.
