John F. Rasweiler
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.
John Frederick Rasweiler was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1968. John had worked at 10 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 5, 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
August 16, 2013 - May 27, 2026
UBS FINANCIAL SERVICES INC.
August 16, 2013 - May 27, 2026
UBS FINANCIAL SERVICES INC.
June 1, 2009 - August 29, 2013
MORGAN STANLEY
June 1, 2009 - August 29, 2013
MORGAN STANLEY
September 10, 2002 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
May 2, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
August 13, 1986 - April 12, 1988
UBS FINANCIAL SERVICES INC.
April 30, 1979 - November 18, 1986
PRUDENTIAL EQUITY GROUP, LLC
January 18, 1978 - April 16, 1979
LOEB PARTNERS
May 5, 1977 - January 18, 1978
HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED
February 10, 1976 - May 5, 1977
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
June 28, 1974 - February 21, 1976
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
December 16, 1968 - May 7, 1974
FERKAUF 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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 5
Date: 10/16/1981
Interest Rate Options ExaminationSeries 1
Date: 10/23/1958
Registered Representative ExaminationSeries 12
Date: 10/6/1976
NYSE Branch Manager ExaminationSeries 40
Date: 12/2/1968
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 | 476 |
| Civil Event | 5 |
| Arbitration | 444 |
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.
Company Information
UBS FINANCIAL SERVICES INC.
Managing Director–Wealth ManagementCRD#: 8174TRUST BUT VERIFY
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