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KS

Kevin A. Spano

UBS ASSET MANAGEMENT (AMERICAS)
Morristown, NJ
Some features on this profile are disabled
CRD#: 6584709
KS

Professional summary

Kevin Anthony Spano, who also goes by Kevin Spano, is a registered financial advisor currently at UBS ASSET MANAGEMENT (AMERICAS) LLC located in Morristown, New Jersey and UBS ASSET MANAGEMENT (US) INC. located in Weehawken, New Jersey.

Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Kevin has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Kevin Spano

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Anthony Spano's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

April 26, 2023 - Present

UBS ASSET MANAGEMENT (AMERICAS) LLC

RIA
CRD#: 106838
Morristown, NJ
Current

April 25, 2023 - Present

UBS ASSET MANAGEMENT (US) INC.

Office #1: 1000 Harbor Blvd, Weehawken, NJ 07086
BD
CRD#: 583
Weehawken, NJ
Past

December 21, 2018 - April 25, 2023

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
NEW YORK, NY
Past

September 18, 2017 - April 25, 2023

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
NEW YORK, NY
Past

March 28, 2016 - September 11, 2017

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
NEW YORK, NY
Past

February 2, 2016 - September 11, 2017

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
NEW YORK, NY

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".
UA
UBS ASSET MANAGEMENT (AMERICAS) LLC
BRINSON PARTNERS | UBS UNIFIED GLOBAL ALTERNATIVES | UBS TIMBER INVESTORS | UBS SUSTAINABLE INVESTORS | UBS REAL ESTATE & PRIVATE MARKETS (AMERICAS) | UBS HEDGE FUND SOLUTIONS | UBS GROWTH INVESTORS | UBS GLOBAL REAL ASSETS AMERICAS | UBS GLOBAL ASSET MANAGEMENT(NEW YORK) INC. | UBS GLOBAL ASSET MANAGEMENT (US)INC. | UBS GLOBAL ASSET MANAGEMENT (AMERICAS) INC. | UBS CREDIT INVESTMENTS GROUP | UBS ASSET MANAGEMENT (AMERICAS) LLC | UBS ASSET MANAGEMENT (AMERICAS) INC. | UBS ASSET MANAGEMENT | UBS AM | O'CONNOR | DSI INTERNATIONAL MANAGEMENT, INC. | BRINSON PARTNERS, INC

CRD#: 106838 / SEC#: 801-34910

RIA
Registered Investment Advisory firm - (9/11/1989 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR
New Jersey
(4/26/2023)
RR
New Jersey
(2/18/2025)
RR
New York
(4/25/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/23/2016
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/2/2016
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

UA
UBS ASSET MANAGEMENT (AMERICAS) LLC
BRINSON PARTNERS | UBS UNIFIED GLOBAL ALTERNATIVES | UBS TIMBER INVESTORS | UBS SUSTAINABLE INVESTORS | UBS REAL ESTATE & PRIVATE MARKETS (AMERICAS) | UBS HEDGE FUND SOLUTIONS | UBS GROWTH INVESTORS | UBS GLOBAL REAL ASSETS AMERICAS | UBS GLOBAL ASSET MANAGEMENT(NEW YORK) INC. | UBS GLOBAL ASSET MANAGEMENT (US)INC. | UBS GLOBAL ASSET MANAGEMENT (AMERICAS) INC. | UBS CREDIT INVESTMENTS GROUP | UBS ASSET MANAGEMENT (AMERICAS) LLC | UBS ASSET MANAGEMENT (AMERICAS) INC. | UBS ASSET MANAGEMENT | UBS AM | O'CONNOR | DSI INTERNATIONAL MANAGEMENT, INC. | BRINSON PARTNERS, INC

CRD#: 106838 / SEC#: 801-34910

RIA
Registered Investment Advisory firm - (9/11/1989 Approved)
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Contact information

Main Address
1285 Avenue Of The Americas, New York, NY 10019
Mailing Address
Phone number
(212) 713-2000
Established
Firm type
Fiscal year end
# of Employees
792

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

UBS AM (AMERICAS) LLC - UGA FORM ADV PART 2A (7/1/2025)
UBS AM (AMERICAS) LLC - O'CONNOR FORM ADV PART 2A (3/31/2025)
UBS AM (AMERICAS) LLC - GRA AMERICAS FORM ADV PART 2A (3/31/2025)
UBS AM (AMERICAS) LLC - UBS AM FORM ADV PART 2A (3/31/2025)
UBS AM (AMERICAS) LLC - CIG FORM ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts399,225
AUM (Assets Under Management)$ 542,245,991,275

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
12/23/2025
Cover Page
Report
01/28/2025
Cover Page
Report

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 ASSET MANAGEMENT (AMERICAS) LLC

CRD#: 106838Morristown, NJ

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