Holly L. Hendrix
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.
Holly Lee Hendrix, who also goes by Holly Speth Hendrix, Holly Lee Hendrixspeth, Holly Hendrix Speth, Holly Speth, was a registered financial professional .
Holly is a previously registered financial professional and started their career in finance in 1977. Holly had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 5, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 17, 2004 - March 20, 2024
UBS FINANCIAL SERVICES INC.
April 10, 1985 - January 6, 2025
UBS FINANCIAL SERVICES INC.
November 29, 1984 - March 6, 1985
MAYFAIR SECURITIES, INC.
March 21, 1984 - April 12, 1984
KIDDER, PEABODY & CO. INCORPORATED
December 8, 1983 - March 13, 1984
MARKET TRENDS AND TIMING
January 31, 1983 - December 16, 1983
LEHMAN BROTHERS INC.
October 11, 1979 - June 22, 1981
J.P. MORGAN SECURITIES LLC
November 15, 1978 - September 17, 1979
BECKER PARIBAS INCORPORATED
September 26, 1978 - December 13, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 21, 1977 - 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
Series 15
Date: 6/20/1997
Foreign Currency Options ExaminationSeries 5
Date: 6/6/1997
Interest Rate Options 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.
Managing Director–Wealth ManagementCRD#: 8174TRUST BUT VERIFY
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