James A. Crawford
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.
James Aubrey Crawford, CFP® was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1969. James had worked at 5 firms and has passed the Series 65, Series 63, Series 6TO, Series 7TO, Series 22TO, SIE, Series 1, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1995
Experience
March 30, 2015 - July 28, 2025
UBS FINANCIAL SERVICES INC.
March 30, 2015 - July 28, 2025
UBS FINANCIAL SERVICES INC.
January 2, 2009 - March 31, 2015
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
April 13, 1999 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 4, 1999 - March 31, 2015
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 25, 1994 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
August 31, 1990 - July 25, 1994
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 28, 1969 - September 12, 1990
LINCOLN FINANCIAL DISTRIBUTORS, 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
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationSeries 1
Date: 4/23/1969
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.
