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Ralph Mattone

Principal Financial Officer at UBS Financial Services

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

0
Past adviser firms
4
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Ralph Mattone is Principal Financial Officer of UBS Financial Services Inc., a Weehawken investment adviser managing $916B. Ralph Mattone has a current broker registration and no current investment-adviser registration and has passed the Series 27, Series 63, Series 99TO and SIE.

Role at UBS Financial Services

Title on Schedule A
Principal Financial Officer
Control
Ralph Mattone is not a control person of UBS Financial Services.
Ownership
An individual ownership band is not available in the source record.
Tenure
Ralph Mattone has held the filed role since July 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 99TO and SIE · 2023
  2. Passed Series 27 and Series 63 · 1993

Registrations and exams

Broker registration; no current adviser registration. Ralph Mattone has passed 4 qualifying exams.

Examinations

Series 6312 February 1993
Name
Uniform Securities Agent State Law Examination
Series 2720 January 1993
Name
Financial and Operations Principal Examination
Series 99TO2 January 2023
Name
Operations Professional Examination
SIE2 January 2023
Name
Securities Industry Essentials Examination

Individual record

Full name
Ralph Mattone
CRD
1840894
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 Ralph Mattone work?

Ralph Mattone has been Principal Financial Officer of UBS Financial Services Inc. since July 2019.

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

Does Ralph Mattone have a current investment-adviser registration?

Ralph Mattone 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 Ralph Mattone passed?

Ralph Mattone has passed 4 licensing exams: the Series 27, Series 63, Series 99TO and SIE. The earliest, the Series 27, was passed in January 1993.

Source: IAPD individual record, checked 17 October 2026

Leadership at UBS Financial Services

Sources

  1. IAPD individual record, CRD 1840894. 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 Ralph Mattone 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.