Aaron A. Glasser
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.
Aaron Augustin Glasser, who also goes by A. Augie Glasser, Augie Glasser, was a registered financial professional .
Aaron is a previously registered financial professional and started their career in finance in 1998. Aaron had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 31, Series 55, Series 7, 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
October 19, 2007 - April 3, 2020
UBS FINANCIAL SERVICES INC.
September 6, 2006 - April 3, 2020
UBS FINANCIAL SERVICES INC.
February 2, 2005 - December 20, 2005
TAFFERER TRADING, LLC
August 6, 2003 - December 15, 2004
FIS BROKERAGE & SECURITIES SERVICES LLC
January 4, 2002 - August 6, 2003
SCHONFELD SECURITIES, LLC
January 11, 2001 - January 9, 2002
RUMSON CAPITAL, LLC
September 16, 1998 - December 8, 1998
FIRST COLONIAL SECURITIES
March 16, 1998 - May 26, 1998
G.F.B. SECURITIES, INC.
January 14, 1998 - March 13, 1998
WILLIAM SCOTT & CO. L.L.C.
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 55
Date: 3/2/2001
Limited Representative-Equity Trader ExamCurrent 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.
