Brian W. Tremain
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.
Brian William Tremain was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1977. Brian had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 13, 2008 - February 10, 2017
UBS FINANCIAL SERVICES INC.
November 13, 2008 - February 10, 2017
UBS FINANCIAL SERVICES INC.
May 23, 2003 - November 15, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 23, 2003 - November 15, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 9, 1998 - May 27, 2003
PRUDENTIAL EQUITY GROUP, LLC
August 25, 1989 - May 27, 2003
PRUDENTIAL EQUITY GROUP, LLC
August 1, 1988 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
December 27, 1984 - August 5, 1988
KIDDER, PEABODY & CO. INCORPORATED
May 1, 1980 - December 21, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 6, 1977 - June 10, 1978
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
April 6, 1977 - June 10, 1978
MONY SECURITIES CORPORATION
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 1
Date: 3/26/1977
Registered Representative ExaminationSeries 8
Date: 11/10/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current 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.
