Wayne J. Powers
Professional summary
Wayne J Powers, who also goes by Wayne Joseph Powers, Wayne Powers, is a registered financial professional currently at UBS SECURITIES LLC located in New York, New York.
Wayne is registered as a RR (Registered Representative) and started their career in finance in 1994. Wayne has worked at 11 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Wayne J Powers's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 10, 2024 - Present
UBS SECURITIES LLC
Office #1: 11 Madison Avenue, New York, NY 10010January 15, 2020 - May 31, 2025
CREDIT SUISSE SECURITIES (USA) LLC
September 5, 2014 - February 23, 2017
PRIME DEALER SERVICES CORP.
September 5, 2014 - February 23, 2017
MORGAN STANLEY DISTRIBUTION, INC.
September 5, 2014 - February 23, 2017
MORGAN STANLEY
May 23, 2007 - June 18, 2019
MORGAN STANLEY & CO. LLC
September 30, 2004 - March 6, 2007
SANFORD C. BERNSTEIN & CO., LLC
November 24, 2003 - August 18, 2004
NOMURA SECURITIES INTERNATIONAL, INC.
January 7, 1997 - March 18, 1999
NOMURA SECURITIES INTERNATIONAL, INC.
July 10, 1996 - October 28, 1996
IDS LIFE INSURANCE COMPANY
July 10, 1996 - October 28, 1996
AMERIPRISE FINANCIAL SERVICES, LLC
April 4, 1994 - July 17, 1995
SALOMON BROTHERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 10/16/2023
Operations Professional Examination24X National Exchange LLC
BOX Exchange LLC
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe C2 Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Investors' Exchange LLC
Long-Term Stock Exchange, Inc.
MEMX LLC
MIAX Emerald, LLC
MIAX PEARL, LLC
MIAX Sapphire
Miami International Securities Exchange, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
NYSE Texas, Inc.
Nasdaq BX, Inc.
Nasdaq GEMX, LLC
Nasdaq ISE, LLC
Nasdaq MRX, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
UBS SECURITIES LLC
CRD#: 7654 / SEC#: 801-67178, 8-22651
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC | MEMBER, VOTING | |
| CASAVECHIA, RICHARD MICHAEL | MANAGING DIRECTOR, SENIOR MANAGER INVESTMENT BANKING | 4732235 |
| DIMARCO, PATRICK M | CHIEF COMPLIANCE OFFICER | 4549136 |
| EBERT, MICHAEL J | PRESIDENT AND CHAIR OF THE BOARD | 4556059 |
| HAZELWOOD, TRICIA | MANAGING DIRECTOR, SENIOR MANAGER TRADING & SALES | 4232035 |
| LOFTUS, MICHAEL L | MANAGING ATTORNEY, INVESTMENT BANKING & CAPITAL MARKETS | 4176467 |
| MATTONE, RALPH MICHAEL | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| NIETO, CALLUM | PRINCIPAL OPERATIONS OFFICER | 6765482 |
| VAN TASSEL, JAMES C | MANAGING DIRECTOR, US EQUITIES RESEARCH | 2558212 |
Disclosures
| Regulatory Event | 308 |
| Civil Event | 4 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
