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Principal Financial Officer · UBS Financial Services Inc.

Ralph Mattone

CRD 1840894 · Named on Form ADV at 2 SEC-registered advisers

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 Ralph Mattone on its Form ADV as Principal Financial Officer. The SEC filings also name Ralph at 1 other registered adviser.

Firms and roles

AtlasMembers

Ralph’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 each firm
2 firmsLocked
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 (13)

  • Lisa M. FrancomanoChief Compliance Officer for the Advisory Business, UBS Financial Services Inc.
  • Joseph SommaPrincipal Operations 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.

8 more people named with Ralph on the same filings, with titles and firms. Free in Atlas with a free account.

See all 13 free

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