Dennis J. Drescher
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.
Dennis Jay Drescher was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1975. Dennis had worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 5, Series 15, Series 7, Series 24, Series 10, Series 9, Series 53, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 11, 2003 - April 21, 2020
UBS FINANCIAL SERVICES INC.
March 7, 2003 - April 21, 2020
UBS FINANCIAL SERVICES INC.
January 3, 2002 - March 17, 2003
PRUDENTIAL EQUITY GROUP, LLC
February 27, 1996 - March 17, 2003
PRUDENTIAL EQUITY GROUP, LLC
July 31, 1993 - February 29, 1996
CITIGROUP GLOBAL MARKETS INC.
October 19, 1981 - July 31, 1993
LEHMAN BROTHERS INC.
February 22, 1978 - November 6, 1981
LEHMAN BROTHERS KUHN LOEB INCORPORATED
September 9, 1975 - February 22, 1978
LEHMAN BROTHERS INCORPORATED
February 24, 1975 - September 21, 1975
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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 7TO
Date: 10/3/2022
General Securities Representative ExaminationSeries 5
Date: 5/18/1990
Interest Rate Options ExaminationSeries 15
Date: 3/30/1989
Foreign Currency Options ExaminationSeries 12
Date: 12/19/1981
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.
