Lloyd V. Seested Jr.
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.
Lloyd Victor Seested Jr., who also goes by Lloyd VIctor Seested Jr, Victor Victor Seested Jr, Lloyd Victor Seested Jr Jr, Victor Victor Seested Jr. Jr, was a registered financial professional .
Lloyd is a previously registered financial professional and started their career in finance in 1969. Lloyd had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 41, Series 000, Series 1, Series 4, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 4, 2000 - May 13, 2016
UBS FINANCIAL SERVICES INC.
September 8, 2000 - May 13, 2016
UBS FINANCIAL SERVICES INC.
October 24, 1988 - October 6, 2000
FERRIS, BAKER WATTS, LLC
January 13, 1971 - October 24, 1988
BAKER, WATTS & CO., INC.
June 27, 1969 - February 21, 1971
AMERICAN EXPRESS INVESTMENT MANAGEMENT COMPANY
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 41
Date: 9/17/1983
NYSE Allied Member ExaminationSeries 000
Date: 2/26/1971
General Securities Principal ExaminationSeries 1
Date: 6/25/1969
Registered Representative ExaminationSeries 40
Date: 2/11/1975
Registered Principal ExaminationSeries 12
Date: 3/26/1973
NYSE Branch Manager 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.
