RK
Rick S. Kirkinis
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CRD#: 718062
RK
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.
Rick Spyro Kirkinis, who also goes by Rick S Kirkinis, Spyro George Kirkinis, was a registered financial professional .
Rick is a previously registered financial professional and started their career in finance in 1980. Rick had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 52 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Rick S Kirkinis | Spyro George Kirkinis
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.
1)NORTHKIRK HOLDINGS LLC / 30 BLACKWELL AVE MORRISTOWN,NJ 07960 / COMPANY/ FINANCIAL (CONSUMER & INVESTMENT SERVICES) / INVESTMENTS / PARTNER / INVESTMENT / START DATE 08/03/2007. 2)SANDKIRK LLC / 30 BLACKWELL AVE MORRISTOWN,NJ 07960 / COMPANY/ REAL ESTATE / REAL ESTATE HOLDING / PARTNER / MAMAGER / START DATE 08/06/2008. 3)BRADSHAW PROPERTIES LLC. / 30 BLACKWELL AVE MORRISTOWN,NJ 07960 / COMPANY/ REAL ESTATE / BUY AND SELL REAL ESTATE AND MORTGAGES / PARTNER / / NONE / START DATE 08/02/2011 / 4)GARDEN STATE VENTURES / 408 MAIN ST, SUITE 502 BOONTON,NJ 07005 / COMPANY/ REAL ESTATE / MORTGAGE INVESTMENTS / PARTNER / START DATE 08/01/2012 / 5)JD & PB LLC / 408 MAIN STREET BOONTON,NJ 07005 / COMPANY/ REAL ESTATE / REAL ESTATE AND MORTGAGE INVESTMENTS / OTHER / WIFE IS PARTNER / ADVISORY / START DATE 11/1/2013 6)NJ TSC VENTURES LLC / 408 MAIN STREET BOONTON,NJ 07005 / COMPANY/ REAL ESTATE / INVEST IN TAX LIENS AND MORTGAGES / PARTNER / START DATE 2/14/2014 7)JDRMDBP & PB LLC / 408 Main Street Boonton,NJ 07005 / Company/ Real Estate / real estate investment / Partner / / na / Start Date 5/12/15 / 8) Bradshaw Properties 2 LLC / 408 Main Street Boonton,NJ 07005 / Company/ Real Estate / Real Estate / Other / my wife is a partner / na / Start Date 05/14/2014 / 9) JDRMDBP&RSK TST LLC / 408 Main St Boonton,NJ 07005 / Company/ Real Estate / real estate investment / Partner / / na / Start Date 08/20/2015 / 10) Bradshaw Properties LLC / 408 Main Street, Boonton, NJ 07005 / United States / No / Company / Real Estate / Real Estate Investment / 70% ownership interest / Advice provided with regard to real estate investments. / Start Date 4/23/2019 / No / 43578 11) JDRMDBP-PB / 408 Main Street, Boonton, NJ 07005 / United States / No Partnership / Real Estate / Entity owns real estate / 70% owner, non- director / Investor with some decision making ability /Start Date 4/23/2019 / No / 43578 12) JD & PB LLC / 408 Main Street, Boonton, NJ 07005 / United States / No Company / Real Estate / Entity owns real estate / 70% owner of real estate entity / advice provided on real estate investments. / Start Date 4/23/2019 / No / 43578 13) Garden State Ventures / 408 Main Street, Boonton, NJ 07005 / United States / No / Company / Real Estate / Part owner in entity that owns Real Estate / Part owner of existing real estate investment / Provide advice regarding potential real estate investments / Start Date 4/23/2019 / No / 43578 14) Bradshaw Properties 2 LLC / 408 Main Street, Boonton, NJ 07005 / United States / No / Company / Real Estate / Entity invests in Real Estate / Part owner of real estate holdings and provide advice regarding potential RE investments / Start Date 4/23/2019 / No / 43578 15) JDRMDBP & RSK TST LLC / United States / 408 Main Street, Boonton, NJ 07005/ No / Company / Real Estate / Entity invests in real estate / Part owner in entity that owns real estate. Consulted on potential investments / Start Date 4/23/2019 / No / 43578 16)JDRMDBPP, SM, SKP, JD IRA LLC / 408 MAIN ST, Boonton, NJ 07005 / Company / Real Estate / Real Estate / Advisor or advisory group member if advice given may influence an officer/board / NONE / Start Date 7/15/2019 17)Southkirk Properties LLC/ Category - Company/ Principal business Activity - Real Estate Investment/ Role - operating manager/ Duty- advisory/ Comp -No
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
January 30, 2009 - May 1, 2023
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
FLORHAM PARK, NJ
Past
January 30, 2009 - December 31, 2024
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
FLORHAM PARK, NJ
Past
May 10, 2002 - February 17, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
NORMANDY BEACH, NJ
Past
July 31, 1993 - February 17, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NORMANDY BEACH, NJ
Past
November 6, 1991 - July 31, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
August 11, 1986 - October 31, 1991
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
March 9, 1983 - August 14, 1986
MOORE & SCHLEY, CAMERON & CO.
BD
CRD#: 6917
Past
October 27, 1982 - August 14, 1986
GMS GROUP
BD
CRD#: 8000
Past
October 29, 1980 - September 2, 1982
J. B. HANAUER & CO.
BD
CRD#: 6958
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".
UBS FINANCIAL SERVICES INC.
PAINE, WEBBER, JACKSON & CURTIS INC. | WEALTH MANAGEMENT USA | UBS PAINEWEBBER INC. | UBS FINANCIAL SERVICES INC. | PAINEWEBBER INCORPORATED | PAINEWEBBER INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
RIA
Registered Investment Advisory firm - SEC (1/22/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
UBS FINANCIAL SERVICES INC.
PAINE, WEBBER, JACKSON & CURTIS INC. | WEALTH MANAGEMENT USA | UBS PAINEWEBBER INC. | UBS FINANCIAL SERVICES INC. | PAINEWEBBER INCORPORATED | PAINEWEBBER INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
RIA
Registered Investment Advisory firm - SEC (1/22/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
1200 Harbor Boulevard, Weehawken, NJ 07086
Mailing Address
315 Deaderick Street 3rd Fl, Compliance Department, Nashville, TN 37238
Phone number
(201) 352-3000
Established
Delaware since 06/30/1969
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
12,629
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.
Company Information
UBS FINANCIAL SERVICES INC.
Managing Director–Wealth ManagementCRD#: 8174TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
