Misti L. Pope
Professional summary
Misti Lee Pope was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Misti Lee Pope, who also goes by Misti L Bailey, Misti Lee Bailey, Misti Lee Delap, was a registered financial advisor .
Misti is a previously registered financial advisor and started their career in finance in 1998. Misti had worked at 4 firms and has passed the Series 66, Series 31 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
May 28, 2008 - June 15, 2011
UBS FINANCIAL SERVICES INC.
May 28, 2008 - June 15, 2011
UBS FINANCIAL SERVICES INC.
July 22, 2004 - May 6, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 15, 2004 - May 6, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 14, 2004 - July 19, 2004
SIGNATOR FINANCIAL SERVICES, INC.
August 25, 2003 - November 20, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 25, 2003 - November 20, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 17, 2001 - August 8, 2003
WELLS FARGO CLEARING SERVICES, LLC
June 30, 1998 - April 17, 2001
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.
