John K. Meiners
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 K Meiners JR, who also goes by John Kemper Meiners Jr, John Kemper Meiners Jr Jr, John Jr.,john Meiners Jr., John Kemper Meiners Jr. Jr, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1972. John had worked at 8 firms and has passed the Series 63, SIE, Series 000, Series 1 and Series 8 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 - December 31, 2020
UBS FINANCIAL SERVICES INC.
November 12, 2008 - December 31, 2020
UBS FINANCIAL SERVICES INC.
April 2, 2007 - November 13, 2008
MORGAN STANLEY & CO. LLC
April 2, 2007 - November 13, 2008
MORGAN STANLEY & CO. LLC
April 6, 2001 - April 2, 2007
MORGAN STANLEY DW INC.
April 6, 2001 - April 2, 2007
MORGAN STANLEY DW INC.
July 13, 1989 - April 10, 2001
CITIGROUP GLOBAL MARKETS INC.
May 14, 1988 - July 27, 1989
LEHMAN BROTHERS INC.
April 26, 1978 - July 14, 1979
MORGAN STANLEY DW INC.
June 24, 1974 - May 21, 1978
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
September 21, 1972 - July 28, 1974
REYNOLDS SECURITIES, INC.
September 20, 1972 - May 14, 1988
E. F. HUTTON & COMPANY 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: 9/20/1972
General Securities Principal ExaminationSeries 1
Date: 9/20/1972
Registered Representative ExaminationSeries 8
Date: 7/26/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current 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.
