Robert L. Foersterling
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 Louis Foersterling, who also goes by Robert Louis Foesterling, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1980. Robert had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 9, Series 10, Series 24, Series 12 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 9, 2009 - September 27, 2021
UBS FINANCIAL SERVICES INC.
January 9, 2009 - September 27, 2021
UBS FINANCIAL SERVICES INC.
April 2, 2007 - January 13, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - January 13, 2009
MORGAN STANLEY & CO. LLC
March 2, 1998 - April 2, 2007
MORGAN STANLEY DW INC.
October 17, 1994 - April 2, 2007
MORGAN STANLEY DW INC.
September 4, 1990 - October 26, 1994
WELLS FARGO CLEARING SERVICES, LLC
March 22, 1989 - September 4, 1990
BLUNT ELLIS & LOEWI INCORPORATED
April 11, 1984 - March 27, 1989
WILLIAM BLAIR
December 2, 1980 - April 19, 1984
BLUNT ELLIS & LOEWI 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 12
Date: 4/21/1982
NYSE Branch Manager 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.
