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Lisa M. Francomano

Chief Compliance Officer for the Advisory Business at UBS Financial Services

Officer record from the firm’s Form ADVForm ADV filed 25 August 2026

Lisa M. Francomano is Chief Compliance Officer for the Advisory Business of UBS Financial Services Inc., a Weehawken investment adviser.

Role at UBS Financial Services

Title on Schedule A
Chief Compliance Officer for the Advisory Business
Control
Lisa M. Francomano is not a control person of UBS Financial Services.
Ownership
An individual ownership band is not available in the source record.
Tenure
Lisa M. Francomano has held the filed role since October 2006.

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

The IAPD individual lookup on 17 October 2026 returned no individual record. This profile uses the firm’s Form ADV officer listing.

Registrations and exams

Individual registration and examination information for Lisa M. Francomano is unavailable. An officer title or CRD number does not by itself establish current investment adviser representative registration, and no registration or examination counts are inferred.

Officer record

Full name
Lisa M. Francomano
CRD
2263875
Firm
UBS Financial Services Inc.
Record basis
Form ADV officer listing

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 Lisa M. Francomano work?

Lisa M. Francomano has been Chief Compliance Officer for the Advisory Business of UBS Financial Services Inc. since October 2006.

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

Leadership at UBS Financial Services

Sources

  1. IAPD individual lookup, CRD 2263875. This profile uses the Form ADV officer listing; the individual lookup did not provide a current investment-adviser record.
  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 Lisa M. Francomano 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.