Ahmed A. Martinez
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.
Ahmed Antonio Martinez, who also goes by Ahmed A Martinez, Ahmed Antonio Martinez, Ahmed Martinez, was a registered financial professional .
Ahmed is a previously registered financial professional and started their career in finance in 2000. Ahmed had worked at 10 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 9, 2025 - December 26, 2025
UBS FINANCIAL SERVICES INC.
July 9, 2025 - December 26, 2025
UBS FINANCIAL SERVICES INC.
December 19, 2024 - May 13, 2025
EMPOWER ADVISORY GROUP, LLC
December 6, 2024 - May 13, 2025
EMPOWER FINANCIAL SERVICES, INC.
December 2, 2016 - October 23, 2024
VANGUARD ADVISERS, INC.
December 2, 2016 - October 23, 2024
VANGUARD MARKETING CORPORATION
October 22, 2015 - June 24, 2016
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
October 20, 2015 - June 24, 2016
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
July 2, 2008 - October 8, 2015
UBS FINANCIAL SERVICES INC.
July 2, 2008 - October 8, 2015
UBS FINANCIAL SERVICES INC.
November 6, 2007 - May 12, 2008
CITIGROUP GLOBAL MARKETS INC.
March 29, 2007 - November 14, 2007
UBS FINANCIAL SERVICES INC.
March 2, 2006 - August 1, 2006
FIDELITY BROKERAGE SERVICES LLC
January 10, 2006 - January 24, 2006
SCOTTRADE, INC.
November 26, 2004 - January 4, 2006
TD AMERITRADE, INC.
December 5, 2000 - January 4, 2006
TD AMERITRADE, 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
Current 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 | 476 |
| Civil Event | 5 |
| Arbitration | 444 |
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.
