Arnold I I. Alpert
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.
Arnold I Irwin Alpert, who also goes by Arnold Irwin Alpert, was a registered financial professional .
Arnold I is a previously registered financial professional and started their career in finance in 1964. Arnold I had worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 5, Series 000 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
August 21, 2006 - May 8, 2024
UBS FINANCIAL SERVICES INC.
August 17, 2006 - January 6, 2025
UBS FINANCIAL SERVICES INC.
January 12, 1994 - August 24, 2006
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - August 24, 2006
CITIGROUP GLOBAL MARKETS INC.
August 27, 1973 - November 5, 1983
J.P. MORGAN SECURITIES LLC
June 26, 1973 - November 15, 1973
DOMIK CORP.
May 14, 1964 - May 30, 1973
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
May 11, 1964 - July 31, 1993
LEHMAN BROTHERS 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 5
Date: 10/17/1981
Interest Rate Options ExaminationSeries 000
Date: 5/11/1964
General Securities Principal ExaminationSeries 1
Date: 5/11/1964
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.
