WC
Warren R. Colbert
Some features on this profile are disabled
CRD#: 846234
WC
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.
Warren Richard Colbert SR, CIMA®, who also goes by Warren Richard Colbert, was a registered financial professional .
Warren is a previously registered financial professional and started their career in finance in 1977. Warren had worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Warren Richard Colbert
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.
Sarasota Museum of Art- division of the Ringling College of Art & Design / 891 South Tamaimi Trail Sarasota,Florida United States 32439 / Other/ Cultural Establishment / TO TEACH, TO DELIGHT, TO MOVE...The Sarasota Museum of Art, a division of Ringling College of Art and Design, will serve as a catalyst for appreciation and understanding of globally significant contemporary art by artists both established and emerging. A platform for education and exposure, the Museum will be a haven of the avant-garde for audiences of all levels of experience with contemporary art. / Advisor or advisory group member if advice given may influence an officer/board / / The Museum Advisory Committee is a non-governance (no fiduciary responsibility) advisory group made up of College Trustees and non-Trustees community members interested in supporting the Museum effort through thought leadership and community engagement. The Museum Advisory Committee may make recommendations to the Trustees of the College, who remain the governing body of the Museum. / Start Date 12/3/18 The John & Mable Ringling Museum of Art / 5401 Bay Shore RoadSarasota, FLSarasota, FL 3424334243 / An art museum / Cultural Establishment / Chairman of the Board of Directors as of 7-1-2022 / Member of Board of directors / 7/1/2022
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
August 19, 1988 - June 15, 2023
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
SARASOTA, FL
Past
August 19, 1988 - December 31, 2024
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
SARASOTA, FL
Past
March 7, 1980 - August 30, 1988
KIDDER, PEABODY & CO. INCORPORATED
BD
CRD#: 7613
Past
January 31, 1980 - March 4, 1980
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
Past
December 5, 1977 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
BD
CRD#: 640
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
General Industry/Product 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
Company Information
UBS FINANCIAL SERVICES INC.
Senior Vice President–Wealth ManagementCRD#: 8174TRUST BUT VERIFY
Monitor Warren Colbert
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
