Pamela N. Howe
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.
Pamela Nichols Howe, who also goes by Pamela B Howe, Pamela Brooks Nichols, was a registered financial professional .
Pamela is a previously registered financial professional and started their career in finance in 1974. Pamela had worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 31, PC 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
February 12, 2009 - November 25, 2025
UBS FINANCIAL SERVICES INC.
February 12, 2009 - November 25, 2025
UBS FINANCIAL SERVICES INC.
April 2, 2007 - February 13, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - February 13, 2009
MORGAN STANLEY & CO. LLC
January 15, 2003 - April 2, 2007
MORGAN STANLEY DW INC.
July 22, 1987 - April 2, 2007
MORGAN STANLEY DW INC.
October 22, 1984 - July 27, 1987
UBS FINANCIAL SERVICES INC.
July 12, 1983 - October 19, 1984
ADVEST, INC.
May 4, 1983 - June 10, 1983
UBS FINANCIAL SERVICES INC.
November 18, 1982 - December 21, 1982
DERAND/PENNINGTON/BASS, INC.
January 24, 1978 - February 12, 1982
CIBC WORLD MARKETS CORP.
August 31, 1976 - January 5, 1978
WHITE, WELD & CO. INCORPORATED
March 7, 1974 - October 2, 1976
BAKER, WEEKS & CO., 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 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 3/1/1978
AMEX Put and Call ExamSeries 1
Date: 3/4/1974
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.
Company Information
UBS FINANCIAL SERVICES INC.
Senior Vice President–Wealth ManagementCRD#: 8174TRUST BUT VERIFY
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