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Peter Mozer

Managing Director at UBS Financial Services

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

0
Past adviser firms
5
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Peter Mozer is Managing Director of UBS Financial Services Inc., a Weehawken investment adviser managing $916B. Peter Mozer has a current broker registration and no current investment-adviser registration and has passed 5 licensing exams.

Role at UBS Financial Services

Title on Schedule A
Managing Director
Control
Peter Mozer is not a control person of UBS Financial Services.
Ownership
An individual ownership band is not available in the source record.
Tenure
Peter Mozer has held the filed role since May 2024.

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 24 and Series 63 · 2022
  2. Passed SIE and Series 7TO · 2021
  3. Passed Series 7 · 1995

Registrations and exams

Broker registration; no current adviser registration. Peter Mozer has passed 5 qualifying exams.

Examinations

Series 6322 February 2022
Name
Uniform Securities Agent State Law Examination
Series 2410 January 2022
Name
General Securities Principal Examination
Series 7TO11 November 2021
Name
General Securities Representative Examination
SIE21 September 2021
Name
Securities Industry Essentials Examination
Series 719 June 1995
Name
General Securities Representative Examination

Individual record

Full name
Peter Mozer
CRD
2523858
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 Peter Mozer work?

Peter Mozer has been Managing Director of UBS Financial Services Inc. since May 2024.

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

Does Peter Mozer have a current investment-adviser registration?

Peter Mozer 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 Peter Mozer passed?

Peter Mozer has passed 5 licensing exams: the Series 7, SIE, Series 7TO, Series 24 and Series 63. The earliest, the Series 7, was passed in June 1995.

Source: IAPD individual record, checked 17 October 2026

Leadership at UBS Financial Services

Sources

  1. IAPD individual record, CRD 2523858. 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 Peter Mozer 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.