Robert L. Larson
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 Linden Larson was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1976. Robert had worked at 11 firms and has passed the Series 65, Series 63, SIE, PC, Series 3, Series 7, Series 27, Series 24 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 19, 2014 - March 16, 2016
UBS FINANCIAL SERVICES INC.
November 19, 2014 - March 16, 2016
UBS FINANCIAL SERVICES INC.
December 2, 1997 - November 28, 2014
LPL FINANCIAL LLC
March 8, 1993 - November 28, 2014
LPL FINANCIAL LLC
September 15, 1989 - March 9, 1993
PRUDENTIAL EQUITY GROUP, LLC
September 15, 1988 - September 15, 1989
THOMSON MCKINNON SECURITIES INC.
March 7, 1988 - October 4, 1988
LEHMAN BROTHERS INC.
June 10, 1987 - March 7, 1988
E. F. HUTTON & COMPANY INC
April 15, 1986 - June 16, 1987
HORNOR, TOWNSEND & KENT, LLC
September 4, 1985 - May 5, 1986
LCC SECURITIES, INC.
March 27, 1980 - September 9, 1985
BLUNT ELLIS & LOEWI INCORPORATED
September 26, 1978 - March 29, 1980
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 2, 1976 - September 26, 1978
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
PC
Date: 6/20/1988
AMEX Put and Call ExamCurrent 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.
