Charles S. Temel
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CRD#: 840802
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.
Charles Saul Temel, CIMA® was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1977. Charles had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9, Series 10, Series 8 and Series 4 exams.
Question & Answer
What are your service offerings?
Trust & estate planning
Philanthropic services
Executive services/Equity comp...
Loans/credit services
Trading individual securities
Financial planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
2M
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) Jewish Community Relations Council of NY / 224 West 34 Street, Suite 1607 New York,NY 10122 / Other/ Other Community Relations / Developing and enhancing good intergroup relations in NYC / Officer / / President of the Agency / Start Date 7/1/2016/End Date 6/30/2019/501c(3) 43646 / 2) New York City Police Foundation / 555 Fifth Avenue New York,New York 10017 / United States / nycpolicefoundation.org / Foundation / Other / Law Enforcement / Support the work of the NYC Police Department and runs the Crime Stoppers Rewards Program / Other / Member of the Crime Stoppers Committee / We review the Crime Stoppers anonymous rewards program. / Start Date 7/1/2019 3)New York-Israel Commission / Albany, NY United States,New York www.governor.ny.gov/news / No/ Governor Andew Cuomo strengthen economic and cultural ties between NY and Israel / No / Other / see attachment for full listing / member of the commission / Start Date 03/06/2017/ Appointed No / No 4)JCC Association of North America / United States / 520 Eighth Avenue, 4th floor, New York, New York 10018 / Charity / Jewish Community Center national organization / Advising the investment committee on the RFP process / informal advising / Start Date 12/16/2019 5) Good Will Foundation of Lithuania for the benefit of the Jewish Community/ investment relaated?::no / Pylimo str. 4 LT-01117, Vilnus, Lithuania/ charity/ member of the investment committee/ 6/1/2021
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Past
October 9, 2020 - April 28, 2022
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
NEW YORK, NY
Past
February 20, 1999 - April 28, 2022
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
NEW YORK, NY
Past
September 1, 1997 - February 22, 1999
DB ALEX. BROWN LLC
BD
CRD#: 17790
BALTIMORE, MD
Past
October 29, 1987 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
BD
CRD#: 20
Past
February 19, 1981 - November 5, 1987
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
Past
June 28, 1978 - March 19, 1981
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
Past
July 26, 1977 - April 25, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
BD
CRD#: 572
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
UBS FINANCIAL SERVICES INC.
PAINE, WEBBER, JACKSON & CURTIS INC. | WEALTH MANAGEMENT USA | UBS PAINEWEBBER INC. | UBS FINANCIAL SERVICES INC. | PAINEWEBBER INCORPORATED | PAINEWEBBER INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
RIA
Registered Investment Advisory firm - SEC (1/22/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 1/29/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Principal/Supervisory Exam
Current Firm
UBS FINANCIAL SERVICES INC.
PAINE, WEBBER, JACKSON & CURTIS INC. | WEALTH MANAGEMENT USA | UBS PAINEWEBBER INC. | UBS FINANCIAL SERVICES INC. | PAINEWEBBER INCORPORATED | PAINEWEBBER INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
RIA
Registered Investment Advisory firm - SEC (1/22/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
1200 Harbor Boulevard, Weehawken, NJ 07086
Mailing Address
315 Deaderick Street 3rd Fl, Compliance Department, Nashville, TN 37238
Phone number
(201) 352-3000
Established
Delaware since 06/30/1969
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
12,629
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.
