William B. Lawrence
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.
William B Lawrence III, who also goes by William B Lawrence, William Badger Lawrence III, William Badger Lawrence, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1972. William had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, PC, Series 18 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
April 29, 2010 - June 28, 2023
UBS FINANCIAL SERVICES INC.
November 1, 2006 - March 13, 2024
UBS FINANCIAL SERVICES INC.
January 11, 1996 - November 14, 2005
BEACON FIDUCIARY ADVISORS INC
December 16, 1991 - December 31, 1995
LPL FINANCIAL LLC
February 11, 1987 - December 16, 1991
KIDDER, PEABODY & CO. INCORPORATED
September 26, 1977 - February 2, 1987
TUCKER ANTHONY INCORPORATED
September 16, 1977 - November 27, 1977
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
August 2, 1976 - August 27, 1976
BACHE & CO INCORPORATED
April 3, 1972 - January 28, 1974
E. F. HUTTON & COMPANY 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
PC
Date: 6/13/1977
AMEX Put and Call ExamSeries 18
Date: 7/24/1976
Securities Industry Rules and Regulations 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
Monitor William Lawrence
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