Ronald S. Mcgrath
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.
Ronald Suttle Mcgrath, who also goes by Ronald S Mcgrath, Ronald Suttle Mcgrath, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1976. Ronald had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 5, Series 1, Series 4, Series 40 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
October 6, 2017 - January 9, 2020
UBS FINANCIAL SERVICES INC.
October 6, 2017 - January 9, 2020
UBS FINANCIAL SERVICES INC.
January 28, 2008 - October 2, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 22, 2008 - October 2, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 26, 1997 - October 26, 2007
WELLS FARGO CLEARING SERVICES, LLC
November 24, 1997 - October 26, 2007
WELLS FARGO CLEARING SERVICES, LLC
May 21, 1996 - May 14, 1997
A. G. EDWARDS & SONS, INC.
August 10, 1994 - May 16, 1996
PRUDENTIAL EQUITY GROUP, LLC
September 8, 1993 - July 29, 1994
WACHOVIA SECURITIES, INC.
February 26, 1976 - September 17, 1993
CITIGROUP GLOBAL MARKETS 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 15
Date: 2/10/1995
Foreign Currency Options ExaminationSeries 5
Date: 10/26/1981
Interest Rate Options ExaminationSeries 1
Date: 1/23/1965
Registered Representative ExaminationSeries 40
Date: 8/18/1975
Registered Principal ExaminationSeries 12
Date: 2/20/1969
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.
