GC
Guy E. Cline
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CRD#: 4365858
GC
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.
Guy E. Cline, who also goes by Guy Ellis Cline III, was a registered financial professional .
Guy is a previously registered financial professional and started their career in finance in 2001. Guy had worked at 1 firm and has passed the Series 66, SIE, Series 31, Series 7, Series 9 and Series 10 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Guy Ellis Cline Iii
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1)CLINE PROPERTIES IS A PARTNERSHIP WITH MY BROTHER AND SISTER. I OWN ONE/THIRD OF THE PARTNERSHIP. THE ONLY INCOME IS DERIVED FROM RENT IN THE AMOUNT OF $810 PER YEAR FOR FARMLAND.
2)MT PLEASANT UNITED METHODIST CHURCH / 4136 MT PLEASANT RD SHERRILLS FORD NC / MEMBER OF THE FINANCE COMMITTEE / BUDGET PREPARATION, NO INVESTMENT DECISIONS / START DATE 01/01/2011.
3)Lincoln County Community Foundation, an affliate of the Foundation For The Carolinas / 220 N Tryon Street Charlotte,NC 28202 / Foundation/ Charities, Cultural, Educational & Political Organisations / The Foundation brings together charitable donors, community leaders and nonprofit organizations to make positive impacts throughout Lincoln County, North Carolina. / Advisor or member of an advisory committee, if the advice given will or may influence the board or other senior management or supervisory board of the organization in question / / The board is responsible for conducting the activities of the community foundation, which include board/committee operations, communications, development, finance and grantmaking. / Start Date 7/1/15-6/30/18 / 2 hours a day, four times per year
4)The North Carolina Masonic Foundation / 2921 Glenwood Avenue Raleigh,NC 27608 / Foundation/ Charities, Cultural, Educational & Political Organisations / The Foundation is a not-for-profit organization organized to provide support of the Masonic Home for Children at Oxford, Inc. and Masonic and Eatern Star Home of North Carolina, Incorporated . / Member of Board of Directors / / The board of directors are responsible for managing the assets of the Foundation, including 1) Prudently diversify the Fund's assets to meet an agreed upon risk/return profile. 2) Prudently select investment managers. 3) Avoid conflict of interest. / Start Date 01/01/2017/ end Date 12/31/2021 44561 / 4 to 5 days
per year
5) Catawba County Subdivision Review Board / Catawba County Government Center Newton, North Carolina 28658 / United States / No / Yes / Governmental Entity / Catawba County Board of Commisioners / The Subdivision Review Board was established as a review agency for major preliminary Subdivision plats pursuant to GS 153A-321 and 332 to review and approve, approve with modifications, or disapprove applications for approval of preliminary major plats and final major plats and to take other actions as required by Catawba County Code Section 36-36 in accord to the procedures, requirements and standards of said chapter and regulations thereunder. / Voting member as a citizen of Catawba County / Attend one meeting per month / Start Date 6/25/2019 /
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
December 31, 2001 - June 28, 2023
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
CHARLOTTE, NC
Past
May 15, 2001 - April 10, 2024
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
CHARLOTTE, NC
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
UBS FINANCIAL SERVICES INC.
PAINE, WEBBER, JACKSON & CURTIS INC. | WEALTH MANAGEMENT USA | UBS PAINEWEBBER INC. | UBS FINANCIAL SERVICES INC. | PAINEWEBBER INCORPORATED | PAINEWEBBER INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
RIA
Registered Investment Advisory firm - SEC (1/22/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
UBS FINANCIAL SERVICES INC.
PAINE, WEBBER, JACKSON & CURTIS INC. | WEALTH MANAGEMENT USA | UBS PAINEWEBBER INC. | UBS FINANCIAL SERVICES INC. | PAINEWEBBER INCORPORATED | PAINEWEBBER INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
RIA
Registered Investment Advisory firm - SEC (1/22/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
1200 Harbor Boulevard, Weehawken, NJ 07086
Mailing Address
315 Deaderick Street 3rd Fl, Compliance Department, Nashville, TN 37238
Phone number
(201) 352-3000
Established
Delaware since 06/30/1969
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
12,629
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.
