Sharyn M. Uy
Professional summary
Sharyn Marissa Uy, who also goes by Sharyn Uy, is a registered financial professional currently at BERNSTEIN INSTITUTIONAL SERVICES LLC located in New York, New York and SG AMERICAS SECURITIES, LLC located in New York, New York.
Sharyn is registered as a RR (Registered Representative) and started their career in finance in 2004. Sharyn has worked at 8 firms and has passed the Series 63, SIE, Series 16, Series 87, Series 86 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Sharyn Marissa Uy's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 29, 2024 - Present
BERNSTEIN INSTITUTIONAL SERVICES LLC
Office #1: 245 Park Ave, New York, NY 10167May 3, 2024 - Present
SG AMERICAS SECURITIES, LLC
Office #1: 245 Park Avenue, New York, NY 10167December 22, 2014 - March 29, 2024
SANFORD C. BERNSTEIN & CO., LLC
December 15, 2009 - December 31, 2010
MORGAN STANLEY & CO. LLC
November 20, 2009 - December 19, 2011
MORGAN STANLEY & CO. LLC
January 2, 2009 - October 12, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 24, 2008 - January 2, 2009
BANC OF AMERICA SECURITIES LLC
March 23, 2005 - June 19, 2008
J.P. MORGAN SECURITIES LLC
January 26, 2004 - March 3, 2005
OPPENHEIMER & CO. 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
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 PEARL, 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
SG AMERICAS SECURITIES, LLC
CRD#: 128351 / SEC#: , 8-66125
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SG AMERICAS SECURITIES HOLDINGS, LLC | DIRECT OWNER | |
| CARTIER, SYLVAIN | CHIEF EXECUTIVE OFFICER | 6390499 |
| CULLEN, EDWARD PATRICK | OPERATIONAL RISK MANAGER | 1551615 |
| GERLESITS, WILLIAM R | CHIEF COMPLIANCE OFFICER | 5457051 |
| O'KEEFE, THOMAS WILLIAM | PRINCIPAL FINANCIAL OFFICER | 3054453 |
| ZIELINSKI, GREGORY W | CHIEF OPERATING OFFICER | 2384242 |
Disclosures
| Regulatory Event | 114 |
| Criminal | 1 |
| Arbitration | 1 |
Red Flags
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