Robert G. Parrott
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.
Robert G. Parrott, who also goes by Bob Parrott, Robert Glenn Parrott, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1972. Robert had worked at 10 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 31 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
January 16, 2009 - April 23, 2021
UBS FINANCIAL SERVICES INC.
January 16, 2009 - April 23, 2021
UBS FINANCIAL SERVICES INC.
February 17, 2000 - January 20, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 17, 2000 - January 20, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 6, 1998 - February 24, 2000
SIGNATOR INVESTORS, INC.
March 5, 1998 - March 27, 1998
SIGNATOR INVESTORS, INC.
September 9, 1993 - April 6, 1998
PRINCIPAL SECURITIES, INC.
September 9, 1988 - August 4, 1993
CENTURY INVESTORS OF AMERICA, INC.
October 8, 1982 - February 13, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
September 28, 1982 - October 19, 1988
LINCOLN NATIONAL PENSION INSURANCE COMPANY
April 27, 1978 - October 19, 1988
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
April 27, 1978 - October 19, 1988
OSAIC FA, INC.
April 12, 1972 - October 15, 1977
LINCOLN FINANCIAL DISTRIBUTORS, 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 ExaminationSeries 1
Date: 4/5/1972
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.
