William R. Mahood
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 Roland Mahood, who also goes by Bill Mahood, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1970. William had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7, Series 2, Series 5 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 12, 2008 - February 23, 2015
UBS FINANCIAL SERVICES INC.
November 7, 2008 - February 23, 2015
UBS FINANCIAL SERVICES INC.
April 2, 2007 - November 11, 2008
MORGAN STANLEY & CO. LLC
April 2, 2007 - November 11, 2008
MORGAN STANLEY & CO. LLC
December 18, 2001 - April 2, 2007
MORGAN STANLEY DW INC.
December 14, 2001 - April 2, 2007
MORGAN STANLEY DW INC.
January 7, 1987 - February 17, 1989
WILLIAMS SECURITIES GROUP, INC.
October 1, 1985 - November 7, 1985
GRUNTAL & CO., L.L.C.
September 30, 1985 - January 12, 1987
THOMSON MCKINNON SECURITIES INC.
October 17, 1984 - October 1, 1985
JII SECURITIES INC.
January 22, 1981 - September 28, 1984
E. F. HUTTON & COMPANY INC
June 29, 1971 - September 29, 1973
LADENBURG THALMANN & CO. INC.
January 22, 1970 - August 2, 1971
E F HUTTON & CO
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 2
Date: 8/19/1991
Non-Member General Securities ExaminationSeries 5
Date: 11/13/1981
Interest Rate Options ExaminationSeries 1
Date: 1/16/1970
Registered Representative 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.
