J. R. Parker
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.
J. Ralph Parker, who also goes by J. Ralph Ralph Parker, Joseph Ralph Parker, was a registered financial professional .
J. is a previously registered financial professional and started their career in finance in 1970. J. had worked at 10 firms and has passed the Series 65, Series 63, Series 7TO, SIE, PC, Series 1, Series 10, Series 9, Series 8, Series 12 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 19, 2008 - May 17, 2022
UBS FINANCIAL SERVICES INC.
December 19, 2008 - May 17, 2022
UBS FINANCIAL SERVICES INC.
December 7, 2001 - December 22, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 7, 2001 - December 22, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 13, 2001 - December 6, 2001
DEUTSCHE BANK SECURITIES INC.
September 1, 1997 - January 13, 2001
DB ALEX. BROWN LLC
May 11, 1984 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
December 8, 1982 - May 23, 1984
MORGAN STANLEY & CO. LLC
August 13, 1980 - December 13, 1982
MONTGOMERY SECURITIES
February 24, 1978 - August 7, 1980
MORGAN STANLEY DW INC.
May 16, 1973 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
May 25, 1970 - May 16, 1973
DEAN WITTER & CO. 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 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 2/1/1979
AMEX Put and Call ExamSeries 1
Date: 12/8/1959
Registered Representative ExaminationSeries 8
Date: 3/20/1985
General Securities Sales Supervisor Examination (Options Module & General Module)Series 12
Date: 10/12/1967
NYSE Branch Manager ExaminationSeries 40
Date: 10/12/1967
Registered 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.
