John T. Marston
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.
John Tucker Marston was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1969. John had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 41, PC, Series 1, Series 4 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 9, 2007 - February 9, 2017
UBS FINANCIAL SERVICES INC.
February 9, 2007 - February 9, 2017
UBS FINANCIAL SERVICES INC.
November 19, 1999 - February 9, 2007
KEYBANC CAPITAL MARKETS INC.
January 22, 1982 - February 9, 2007
KEYBANC CAPITAL MARKETS INC.
October 11, 1979 - January 29, 1982
UBS FINANCIAL SERVICES INC.
April 11, 1979 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
May 19, 1978 - March 1, 1979
KIDDER, PEABODY & CO. INCORPORATED
May 11, 1976 - May 19, 1978
KIDDER, PEABODY & CO., INCORPORATED
December 26, 1969 - May 22, 1976
FIRST EQUITY CORPORATION OF FLORIDA
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 41
Date: 7/16/1983
NYSE Allied Member ExaminationPC
Date: 9/13/1977
AMEX Put and Call ExamSeries 1
Date: 6/18/1964
Registered Representative ExaminationSeries 00
Date: 12/11/1969
General Securities 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.
