Barbara S. Levinson
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.
Barbara Sybil Levinson, who also goes by Barbara Sybil Delutes, Barbara Sybil Enslein, Barbara S Levinson, was a registered financial professional .
Barbara is a previously registered financial professional and started their career in finance in 1980. Barbara had worked at 14 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 25, 2014 - April 27, 2023
UBS FINANCIAL SERVICES INC.
April 24, 2014 - April 27, 2023
UBS FINANCIAL SERVICES INC.
June 5, 2013 - August 14, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
March 7, 2011 - August 14, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
February 16, 2010 - February 16, 2011
EQUITY SERVICES, INC.
April 2, 2007 - August 6, 2008
MORGAN STANLEY & CO. LLC
March 16, 2007 - April 2, 2007
MORGAN STANLEY DW INC.
September 13, 2005 - February 22, 2007
EDWARD JONES
April 7, 2005 - May 26, 2005
CITIGROUP GLOBAL MARKETS INC.
September 30, 2002 - November 24, 2004
CHARLES SCHWAB & CO., INC.
August 20, 1986 - August 4, 1994
REYNOLDS KENDRICK STRATTON, INC.
January 1, 1986 - July 24, 1986
MARSHALL DAVIS, INC.
November 29, 1983 - December 27, 1984
RICHEY, FRANKEL & COMPANY
July 28, 1982 - March 21, 1983
BOETTCHER & COMPANY, INC.
January 27, 1981 - June 20, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 23, 1980 - September 15, 1980
GLEACHER & COMPANY SECURITIES, 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
Current 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.
