Erwin J. Riven
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.
Erwin Joseph Riven was a registered financial professional .
Erwin is a previously registered financial professional and started their career in finance in 1969. Erwin had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 5, 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 27, 2009 - January 30, 2020
UBS FINANCIAL SERVICES INC.
February 27, 2009 - January 30, 2020
UBS FINANCIAL SERVICES INC.
July 31, 1993 - March 23, 2009
CITIGROUP GLOBAL MARKETS INC.
October 9, 1985 - March 23, 2009
CITIGROUP GLOBAL MARKETS INC.
June 25, 1979 - July 31, 1993
LEHMAN BROTHERS INC.
January 18, 1978 - August 17, 1979
LOEB PARTNERS
January 4, 1977 - January 18, 1978
LOEB RHOADES & CO. INC.
November 11, 1976 - January 4, 1977
LOEB, RHOADES & CO. INC.
November 8, 1974 - January 1, 1977
SHEARSON HAYDEN STONE INC.
February 6, 1969 - November 8, 1974
HAYDEN STONE 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 15
Date: 11/29/1983
Foreign Currency Options ExaminationSeries 5
Date: 10/17/1981
Interest Rate Options ExaminationPC
Date: 9/7/1977
AMEX Put and Call ExamSeries 1
Date: 12/9/1957
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.
