George E. Easley
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.
George Edward Easley was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1970. George had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 5, Series 3, Series 7, Series 1, Series 8 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
April 14, 2011 - January 27, 2017
UBS FINANCIAL SERVICES INC.
April 1, 2011 - January 27, 2017
UBS FINANCIAL SERVICES INC.
June 1, 2009 - April 11, 2011
MORGAN STANLEY
June 1, 2009 - April 11, 2011
MORGAN STANLEY
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
October 20, 1997 - April 2, 2007
MORGAN STANLEY DW INC.
April 24, 1987 - April 2, 2007
MORGAN STANLEY DW INC.
June 6, 1983 - April 28, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 9, 1970 - August 14, 1977
KFS BD, 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
Series 15
Date: 4/17/1990
Foreign Currency Options ExaminationSeries 5
Date: 4/2/1990
Interest Rate Options ExaminationSeries 1
Date: 8/29/1962
Registered Representative ExaminationSeries 8
Date: 8/24/1983
General Securities Sales Supervisor Examination (Options Module & General Module)Series 00
Date: 8/27/1970
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.
