Steven Ross
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.
Steven Ross was a registered financial advisor .
Steven is a previously registered financial advisor and started their career in finance in 1969. Steven had worked at 6 firms and has passed the Series 65, Series 63, PC, 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
September 24, 2008 - August 12, 2011
UBS FINANCIAL SERVICES INC.
May 5, 2008 - August 12, 2011
UBS FINANCIAL SERVICES INC.
January 19, 1999 - May 15, 2008
J.P. MORGAN SECURITIES LLC
August 7, 1990 - January 26, 1999
CIBC WORLD MARKETS CORP.
November 19, 1985 - August 6, 1990
UBS FINANCIAL SERVICES INC.
July 12, 1983 - November 12, 1985
PRUDENTIAL EQUITY GROUP, LLC
October 23, 1978 - April 10, 1979
LEHMAN BROTHERS KUHN LOEB INCORPORATED
September 8, 1969 - October 19, 1978
J.P. MORGAN SECURITIES LLC
July 21, 1969 - July 18, 1983
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
PC
Date: 10/20/1980
AMEX Put and Call ExamSeries 000
Date: 7/21/1969
General Securities Principal ExaminationSeries 1
Date: 7/21/1969
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.
