Douglas Schenkel

LPL FINANCIAL LLC

BOSTON, MA · CRD#

AMERIPRISE FINANCIAL SERVICES, LLC

Norwell, MA · CRD#

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BURLINGTON, MA · CRD#

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

BOSTON, MA · CRD#

Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

21 years registered in the securities industry

Current & Past Employments

Current

UBS SECURITIES LLCCurrent·CRD# 7654

BD

One Post Office Square, Boston, MA 02109

July 7, 2026 - Present

Past

WOLFE RESEARCH SECURITIESPast·CRD# 151850

BD

Boston, MA

October 13, 2023 - June 30, 2026

COWEN AND COMPANYPast·CRD# 7616

BD

Boston, MA

September 19, 2005 - October 26, 2021

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Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Current Firm

US

UBS SECURITIES LLC

CRD#: 7654 / SEC#: 801-67178, 8-22651

BD

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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

FINRA licenses (52 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Part 2 Brochures

PART 2 OF FORM ADV (MARCH 27, 2012) (3/27/2012)

Direct owners and executive officers

Name	Position	CRD#
UBS AMERICAS INC	MEMBER, VOTING	—
CAPANNA, DEREK EMMETT	MANAGING DIRECTOR, SENIOR MANAGER TRADING & SALES	2401898
CASAVECHIA, RICHARD MICHAEL	MANAGING DIRECTOR, SENIOR MANAGER INVESTMENT BANKING	4732235
EBERT, MICHAEL J	PRESIDENT AND CHAIR OF THE BOARD	4556059
LOFTUS, MICHAEL L	MANAGING ATTORNEY, INVESTMENT BANKING & CAPITAL MARKETS	4176467
MATTONE, RALPH MICHAEL	PRINCIPAL FINANCIAL OFFICER	1840894
MILLER, MAURA ANNE	CHIEF COMPLIANCE OFFICER	4444187
NIETO, CALLUM	PRINCIPAL OPERATIONS OFFICER	6765482
VAN TASSEL, JAMES C	MANAGING DIRECTOR, US EQUITIES RESEARCH	2558212

Disclosures

Regulatory Event

313

Civil Event

4

Arbitration

4

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Alabama
(7/7/2026)

RR

Alaska
(7/7/2026)

RR

Arizona
(7/7/2026)

RR

Arkansas
(7/7/2026)

RR

California
(7/7/2026)

RR

Colorado
(7/7/2026)

RR

Connecticut
(7/7/2026)

RR

Delaware
(7/7/2026)

RR

District of Columbia
(7/7/2026)

RR

Florida
(7/7/2026)

RR

Georgia
(7/7/2026)

RR

Hawaii
(7/7/2026)

RR

Idaho
(7/7/2026)

RR

Illinois
(7/7/2026)

RR

Indiana
(7/7/2026)

RR

Iowa
(7/7/2026)

RR

Kansas
(7/7/2026)

RR

Kentucky
(7/7/2026)

RR

Louisiana
(7/7/2026)

RR

Maine
(7/7/2026)

RR

Maryland
(7/7/2026)

RR

Massachusetts
(7/7/2026)

RR

Michigan
(7/7/2026)

RR

Minnesota
(7/7/2026)

RR

Mississippi
(7/7/2026)

RR

Missouri
(7/7/2026)

RR

Montana
(7/7/2026)

RR

Nebraska
(7/7/2026)

RR

Nevada
(7/7/2026)

RR

New Hampshire
(7/7/2026)

RR

New Jersey
(7/7/2026)

RR

New Mexico
(7/7/2026)

RR

New York
(7/7/2026)

RR

North Carolina
(7/7/2026)

RR

North Dakota
(7/7/2026)

RR

Ohio
(7/7/2026)

RR

Oklahoma
(7/7/2026)

RR

Oregon
(7/7/2026)

RR

Pennsylvania
(7/7/2026)

RR

Puerto Rico
(7/7/2026)

RR

Rhode Island
(7/7/2026)

RR

South Carolina
(7/7/2026)

RR

South Dakota
(7/7/2026)

RR

Tennessee
(7/7/2026)

RR

Texas
(7/7/2026)

RR

Utah
(7/7/2026)

RR

Vermont
(7/7/2026)

RR

Virginia
(7/7/2026)

RR

Washington
(7/7/2026)

RR

West Virginia
(7/7/2026)

RR

Wisconsin
(7/7/2026)

RR

Wyoming
(7/7/2026)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

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CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Douglas Schenkel's CRS (Customer Relationship Summary).

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