Richard M. Lavista
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.
Richard Maurice Lavista, who also goes by Rich Lavista, Richard M Lavista, Richard Maurice Maurice Lavista, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1976. Richard had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 53, Series 24, 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
September 30, 2009 - February 12, 2024
UBS FINANCIAL SERVICES INC.
October 6, 2008 - August 19, 2024
UBS FINANCIAL SERVICES INC.
June 27, 2008 - August 11, 2008
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 7, 2004 - January 19, 2007
JBS LIBERTY SECURITIES, INC.
November 22, 2002 - January 20, 2004
VERAVEST, INC.
July 10, 2001 - March 17, 2004
VERAVEST INVESTMENTS, INC.
May 31, 2000 - January 30, 2001
VP DISTRIBUTORS LLC
July 2, 1999 - November 1, 1999
BOFA DISTRIBUTORS, INC.
October 1, 1998 - July 16, 1999
KEYPORT FINANCIAL SERVICES CORP.
October 9, 1990 - March 4, 1998
UBS FINANCIAL SERVICES INC.
February 15, 1988 - October 25, 1990
LEHMAN BROTHERS INC.
October 7, 1977 - February 15, 1988
E. F. HUTTON & COMPANY INC
September 22, 1976 - October 9, 1977
A. G. EDWARDS & SONS, 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 12
Date: 7/16/1979
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.
Company Information
UBS FINANCIAL SERVICES INC.
First Vice President–Wealth ManagementCRD#: 8174TRUST BUT VERIFY
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