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Chief Compliance Officer for the Advisory Business · UBS Financial Services Inc.

Lisa M. Francomano

CRD 2263875 · Named on Form ADV at one SEC-registered adviser

At a glance

UBS Financial Services Inc., an SEC-registered broker-dealer firm based in Weehawken, NJ with $915.8 billion in regulatory assets, lists Lisa M. Francomano on its Form ADV as Chief Compliance Officer for the Advisory Business.

Firms and roles

  • UBS Financial Services Inc.Chief Compliance Officer for the Advisory BusinessBroker-dealer firm · Weehawken, NJ · $916B in regulatory assets

AtlasMembers

Lisa’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at the firm
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Control-person status
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When each role began
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Each firm’s assets and growth
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings (6)

  • Joseph SommaPrincipal Operations Officer, UBS Financial Services Inc.
  • Ralph MattonePrincipal Financial Officer, UBS Financial Services Inc.
  • Kiye SakaiGeneral Counsel, UBS Financial Services Inc.
  • Lauren MunfaChief Compliance Officer, UBS Financial Services Inc.
  • Peter MozerManaging Director, UBS Financial Services Inc.

1 more person named with Lisa on the same filings, with titles and firms. Free in Atlas with a free account.

See all 6 free

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Lisa’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.