Clair A. Lewis
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.
Clair Arnold Lewis was a registered financial professional .
Clair is a previously registered financial professional and started their career in finance in 1968. Clair had worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, Series 52TO, SIE, Series 5, PC, Series 000, Series 1, Series 24, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 2, 2009 - February 19, 2021
UBS FINANCIAL SERVICES INC.
February 2, 2009 - February 19, 2021
UBS FINANCIAL SERVICES INC.
April 2, 2007 - February 3, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - February 3, 2009
MORGAN STANLEY & CO. LLC
January 20, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
January 20, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
April 4, 2000 - January 20, 2005
WELLS FARGO CLEARING SERVICES, LLC
September 4, 1990 - January 20, 2005
WELLS FARGO CLEARING SERVICES, LLC
August 11, 1989 - September 4, 1990
BOETTCHER & COMPANY, INC.
August 19, 1980 - September 13, 1989
RAUSCHER PIERCE REFSNES, INC.
December 1, 1973 - August 18, 1980
WEDBUSH SECURITIES INC.
July 16, 1968 - March 1, 1974
HARVEY ASSOC 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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 5
Date: 12/12/1981
Interest Rate Options ExaminationPC
Date: 8/19/1980
AMEX Put and Call ExamSeries 000
Date: 8/21/1967
General Securities Principal ExaminationSeries 1
Date: 8/21/1967
Registered Representative ExaminationSeries 12
Date: 7/10/1975
NYSE Branch Manager 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.
