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Joseph Somma

Principal Operations Officer at UBS Financial Services

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
3
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Joseph Somma is Principal Operations Officer of UBS Financial Services Inc., a Weehawken investment adviser managing $916B. Joseph Somma has a current broker registration and no current investment-adviser registration and has passed the Series 99, Series 27 and SIE.

Role at UBS Financial Services

Title on Schedule A
Principal Operations Officer
Control
Joseph Somma is a control person of UBS Financial Services.
Ownership
An individual ownership band is not available in the source record.
Tenure
Joseph Somma has held the filed role since May 2019.

The firm

UBS Financial Services Inc.
Weehawken, NJ

Form ADV filed 25 August 2026

$916B AUM1,144,588 clients9,149 advisers26 offices

Career on record

Firms and exams, newest first
  1. Passed Series 27 and SIE · 2018
  2. Passed Series 99 · 2012

Registrations and exams

Broker registration; no current adviser registration. Joseph Somma has passed 3 qualifying exams.

Examinations

Series 2711 July 2018
Name
Financial and Operations Principal Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 9914 June 2012
Name
Operations Professional Examination

Individual record

Full name
Joseph Somma
CRD
2219496
Firm
UBS Financial Services Inc.
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Joseph Somma work?

Joseph Somma has been Principal Operations Officer of UBS Financial Services Inc. since May 2019, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 25 August 2026

Does Joseph Somma have a current investment-adviser registration?

Joseph Somma has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Joseph Somma passed?

Joseph Somma has passed 3 licensing exams: the Series 99, Series 27 and SIE. The earliest, the Series 99, was passed in June 2012.

Source: IAPD individual record, checked 17 October 2026

Leadership at UBS Financial Services

Sources

  1. IAPD individual record, CRD 2219496. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of UBS Financial Services Inc., filed 25 August 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Joseph Somma or UBS Financial Services Inc. and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.