Michael H. Lloyd
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.
Michael Healy Lloyd, who also goes by Michael H Lloyd, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1974. Michael had worked at 9 firms and has passed the Series 65, Series 63, Series 000, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 27, 2009 - April 15, 2014
UBS FINANCIAL SERVICES INC.
March 27, 2009 - April 15, 2014
UBS FINANCIAL SERVICES INC.
July 8, 2005 - November 10, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 29, 2005 - November 10, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 9, 2003 - October 7, 2003
DEUTSCHE BANK SECURITIES INC.
August 3, 2000 - September 16, 2002
DEUTSCHE BANK SECURITIES INC.
February 20, 1996 - June 9, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 15, 1992 - May 5, 1995
NATWEST SECURITIES CORPORATION
February 3, 1986 - January 28, 1992
SALOMON BROTHERS INC.
August 16, 1979 - January 23, 1986
WOOLCOTT & CO., INC.
April 6, 1978 - June 8, 1979
SALOMON BROTHERS INC.
January 11, 1977 - May 8, 1978
NORMANDY SECURITIES INCORPORATED
July 3, 1974 - June 1, 1977
H.C.WAINWRIGHT & CO., LLC
July 1, 1974 - December 20, 1983
ARONSON, WOOLCOTT & CO. 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 000
Date: 7/1/1974
General Securities Principal ExaminationSeries 1
Date: 7/1/1974
Registered Representative ExaminationSeries 40
Date: 12/21/1978
Registered Principal 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.
