Dean A. Choksi
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Dean A Choksi, who also goes by Dean A. Choksi, was a registered financial professional .
Dean is a previously registered financial professional and started their career in finance in 2000. Dean had worked at 8 firms and has passed the Series 63, Series 86, Series 87 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 12, 2010 - June 4, 2012
UBS SECURITIES LLC
September 22, 2008 - July 1, 2010
BARCLAYS CAPITAL INC.
March 28, 2006 - September 22, 2008
LEHMAN BROTHERS INC.
April 21, 2004 - March 23, 2006
RBC CAPITAL MARKETS CORPORATION
June 23, 2003 - April 19, 2004
WELLS FARGO SECURITIES, LLC
April 4, 2003 - June 17, 2003
AVIAN SECURITIES, LLC
November 14, 2002 - February 26, 2003
INVESTEC INC.
October 6, 2000 - March 19, 2002
SOUNDVIEW TECHNOLOGY CORPORATION
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
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
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