Robert G. Jamieson
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.
Robert Gregor Jamieson, who also goes by Robert G Jamieson, Robert Jamieson, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2008. Robert had worked at 7 firms and has passed the Series 66, Series 57TO, SIE, Series 87, Series 55 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
September 19, 2022 - May 14, 2024
UBS SECURITIES LLC
June 13, 2018 - September 6, 2022
COWEN AND COMPANY
December 1, 2014 - June 1, 2018
COWEN EXECUTION SERVICES LLC
February 26, 2013 - November 7, 2014
JANNEY MONTGOMERY SCOTT LLC
July 2, 2012 - February 28, 2013
VIRTU AMERICAS LLC
February 4, 2011 - July 2, 2012
KNIGHT CAPITAL AMERICAS, L.P.
April 17, 2008 - February 4, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 17, 2008 - February 4, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 1/6/2015
Limited Representative-Equity Trader ExamCurrent 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.
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