Pamela A. Viscuso
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.
Pamela Arlene Viscuso, who also goes by Pamela Arlene Crispin, Pamela Arlene Crispin VIscuso, was a registered financial professional .
Pamela is a previously registered financial professional and started their career in finance in 1980. Pamela had worked at 8 firms and has passed the 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
July 18, 2005 - December 15, 2015
UBS FINANCIAL SERVICES INC.
July 18, 2005 - December 15, 2015
UBS FINANCIAL SERVICES INC.
November 15, 2000 - August 1, 2005
CITIGROUP GLOBAL MARKETS INC.
August 19, 1991 - November 27, 2000
UBS FINANCIAL SERVICES INC.
November 13, 1990 - August 12, 1991
PORTSMOUTH FINANCIAL SERVICES
October 28, 1986 - November 16, 1990
SUTRO & CO. INCORPORATED
November 12, 1984 - November 11, 1986
ALEX. BROWN & SONS INCORPORATED
August 23, 1983 - November 16, 1990
SUTRO & CO. INCORPORATED
October 16, 1981 - August 3, 1983
BECKER PARIBAS INCORPORATED
February 20, 1981 - November 11, 1981
CITIGROUP GLOBAL MARKETS INC.
October 21, 1980 - February 23, 1981
J.P. MORGAN SECURITIES LLC
August 22, 1980 - October 22, 1980
KW SECURITIES CORPORATION
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 | 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.
