ES
Elaine L. Sam
UBS FINANCIAL SERVICES
New York, NY 10010
Some features on this profile are disabled
CRD#: 3269363
ES
Professional summary
Elaine Li Ein Sam, who also goes by Elaine Li Ein Sam, Elaine Liein Sam, is a registered financial professional currently at UBS FINANCIAL SERVICES INC. located in New York, New York and UBS SECURITIES LLC located in New York, New York.
Elaine is registered as a RR (Registered Representative) and started their career in finance in 2000. Elaine has worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 3, Series 7, Series 4, Series 24, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Elaine Li Ein Sam | Elaine Liein Sam
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Elaine Li Ein Sam's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 5, 2023 - Present
UBS FINANCIAL SERVICES INC.
Office #1: 11 Madison Avenue, New York, NY 10010RIA
BD
CRD#: 8174
New York, NY
Current
September 5, 2023 - Present
UBS SECURITIES LLC
Office #1: 11 Madison Avenue, New York, NY 10010BD
CRD#: 7654
New York, NY
Past
October 3, 2005 - August 28, 2023
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
Past
November 18, 2004 - October 6, 2005
SG AMERICAS SECURITIES, LLC
BD
CRD#: 128351
NEW YORK, NY
Past
May 16, 2002 - November 23, 2004
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
NEW YORK, NY
Past
February 4, 2000 - May 31, 2000
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(9/5/2023)
RR
Alaska(9/5/2023)
RR
Arizona(9/5/2023)
RR
Arkansas(9/5/2023)
RR
California(9/5/2023)
RR
Colorado(9/5/2023)
RR
Connecticut(9/5/2023)
RR
Delaware(9/5/2023)
RR
District of Columbia(9/5/2023)
RR
Florida(9/5/2023)
RR
Georgia(9/5/2023)
RR
Hawaii(9/5/2023)
RR
Idaho(9/5/2023)
RR
Illinois(9/5/2023)
RR
Indiana(9/5/2023)
RR
Iowa(9/5/2023)
RR
Kansas(9/5/2023)
RR
Kentucky(9/5/2023)
RR
Louisiana(9/5/2023)
RR
Maine(9/5/2023)
RR
Maryland(9/5/2023)
RR
Massachusetts(9/5/2023)
RR
Michigan(9/5/2023)
RR
Minnesota(9/5/2023)
RR
Mississippi(9/5/2023)
RR
Missouri(9/5/2023)
RR
Montana(9/5/2023)
RR
Nebraska(9/5/2023)
RR
Nevada(9/5/2023)
RR
New Hampshire(9/5/2023)
RR
New Jersey(9/5/2023)
RR
New Mexico(9/5/2023)
RR
New York(9/5/2023)
RR
North Carolina(9/5/2023)
RR
North Dakota(9/5/2023)
RR
Ohio(9/5/2023)
RR
Oklahoma(9/5/2023)
RR
Oregon(9/5/2023)
RR
Pennsylvania(9/5/2023)
RR
Puerto Rico(9/5/2023)
RR
Rhode Island(9/5/2023)
RR
South Carolina(9/5/2023)
RR
South Dakota(9/5/2023)
RR
Tennessee(9/5/2023)
RR
Texas(9/5/2023)
RR
Utah(9/5/2023)
RR
Vermont(9/5/2023)
RR
Virgin Islands(9/5/2023)
RR
Virginia(9/5/2023)
RR
Washington(9/5/2023)
RR
West Virginia(9/5/2023)
RR
Wisconsin(9/5/2023)
RR
Wyoming(9/5/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
24X National Exchange LLC
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
US
UBS SECURITIES LLC
BRUNSWICK UBS WARBURG | WARBURG DILLON READ LLC | UBS WARBURG LLC | UBS SECURITIES LLC | UBS SECURITIES INC. | UBS INVESTMENT BANK
CRD#: 7654 / SEC#: 801-67178, 8-22651
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
11 Madison Avenue, New York, NY 10010
Mailing Address
1000 Harbor Boulevard, Weehawken, NJ 07086
Phone number
(201) 352-3000
Established
Delaware since 06/29/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
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.
