Richard B. Marchisio
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.
Richard Branson Marchisio, who also goes by Rick Marchisio, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1967. Richard had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 5, PC, Series 000, Series 1, Series 53 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
October 11, 2007 - December 31, 2019
UBS FINANCIAL SERVICES INC.
October 10, 2007 - December 31, 2019
UBS FINANCIAL SERVICES INC.
April 2, 2007 - October 15, 2007
MORGAN STANLEY & CO. LLC
April 2, 2007 - October 15, 2007
MORGAN STANLEY & CO. LLC
May 30, 2002 - April 2, 2007
MORGAN STANLEY DW INC.
May 24, 2002 - April 2, 2007
MORGAN STANLEY DW INC.
April 27, 1998 - June 6, 2002
PRUDENTIAL EQUITY GROUP, LLC
April 27, 1998 - June 6, 2002
PRUDENTIAL EQUITY GROUP, LLC
December 13, 1993 - May 5, 1998
CITIGROUP GLOBAL MARKETS INC.
May 4, 1992 - December 22, 1993
RAYMOND JAMES & ASSOCIATES, INC.
March 31, 1992 - May 11, 1992
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 23, 1988 - March 31, 1992
NATIONSBANC SECURITIES OF GEORGIA, INC.
January 6, 1987 - June 7, 1988
PRUDENTIAL EQUITY GROUP, LLC
January 22, 1985 - January 1, 1987
AMUNI FINANCIAL, INC.
October 31, 1984 - December 26, 1984
SECURITIES RESOLUTION CORPORATION
August 7, 1967 - October 3, 1984
BURGESS & LEITH 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
Series 5
Date: 10/19/1981
Interest Rate Options ExaminationPC
Date: 12/2/1977
AMEX Put and Call ExamSeries 000
Date: 8/7/1967
General Securities Principal ExaminationSeries 1
Date: 8/7/1967
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.
