Robert J. Donato
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.
Robert Joseph Donato was a registered financial advisor .
Robert is a previously registered financial advisor and started their career in finance in 1968. Robert had worked at 7 firms and has passed the Series 63, Series 15, Series 1, Series 12, Series 4 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 18, 1997 - December 16, 2004
UBS FINANCIAL SERVICES INC.
September 26, 1997 - December 16, 2004
UBS FINANCIAL SERVICES INC.
January 2, 1997 - September 19, 1997
MOORS & CABOT, INC.
October 28, 1980 - September 8, 1982
DISCOVERY FINANCIAL SERVICES, INC.
January 31, 1980 - December 19, 1996
UBS FINANCIAL SERVICES INC.
November 15, 1979 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
November 15, 1979 - May 23, 1980
UBS FINANCIAL SERVICES INC.
June 8, 1978 - November 5, 1979
MOORS & CABOT, INC.
January 18, 1978 - July 5, 1978
LOEB PARTNERS
May 5, 1977 - January 18, 1978
HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED
June 26, 1968 - May 5, 1977
HORNBLOWER & WEEKS - HEMPHILL, NOYES 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: 6/5/1984
Foreign Currency Options ExaminationSeries 1
Date: 9/14/1966
Registered Representative ExaminationSeries 12
Date: 5/4/1985
NYSE Branch Manager ExaminationSeries 00
Date: 8/18/1967
General Securities 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.
