Maylin Carcasses-alvarez
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.
Maylin Carcasses-alvarez, who also goes by Maylin De La Caridad Carcasses, Maylin Carcasses, Maylin Caridad Carcasses Alvarez, Maylin Carcasses Alvarez, was a registered financial professional .
Maylin is a previously registered financial professional and started their career in finance in 2008. Maylin had worked at 6 firms and has passed the Series 66, SIE, Series 31, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 18, 2022 - April 10, 2023
UBS SECURITIES LLC
February 20, 2017 - February 1, 2022
MORGAN STANLEY
September 30, 2016 - February 1, 2022
MORGAN STANLEY
December 16, 2015 - September 21, 2016
WELLS FARGO CLEARING SERVICES, LLC
June 5, 2014 - September 21, 2016
WELLS FARGO CLEARING SERVICES, LLC
September 3, 2010 - May 16, 2014
J.P. MORGAN SECURITIES LLC
June 30, 2009 - September 16, 2010
CHASE INVESTMENT SERVICES CORP.
June 22, 2009 - September 16, 2010
CHASE INVESTMENT SERVICES CORP.
September 26, 2008 - February 12, 2009
MORGAN STANLEY & CO. LLC
August 19, 2008 - February 12, 2009
MORGAN STANLEY & CO. LLC
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
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.
