Robin M. Snider
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.
Robin Munn Snider was a registered financial advisor .
Robin is a previously registered financial advisor and started their career in finance in 1969. Robin had worked at 8 firms and has passed the Series 63, Series 15, Series 5, PC, Series 000, Series 1, Series 4, Series 12 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 1, 1999 - October 3, 2006
UBS FINANCIAL SERVICES INC.
January 10, 1991 - October 3, 2006
UBS FINANCIAL SERVICES INC.
September 4, 1990 - December 31, 1990
WELLS FARGO CLEARING SERVICES, LLC
August 22, 1989 - September 4, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
May 22, 1989 - August 24, 1989
CITIGROUP GLOBAL MARKETS INC.
June 12, 1979 - May 22, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
February 24, 1978 - July 26, 1979
MORGAN STANLEY DW INC.
May 16, 1973 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
February 6, 1969 - May 16, 1973
DEAN WITTER & CO. INCORPORATED
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: 5/7/1985
Foreign Currency Options ExaminationSeries 5
Date: 11/21/1981
Interest Rate Options ExaminationPC
Date: 12/4/1979
AMEX Put and Call ExamSeries 000
Date: 1/30/1969
General Securities Principal ExaminationSeries 1
Date: 1/30/1969
Registered Representative ExaminationSeries 12
Date: 2/28/1974
NYSE Branch Manager ExaminationSeries 40
Date: 1/25/1974
Registered Principal 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.
