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EK

Emma K. Katz

UBS SECURITIES LLC
Miami, FL 33131
Some features on this profile are disabled
CRD#: 7421068
EK

Professional summary

Emma Kate Katz, who also goes by Emma Katz, is a registered financial professional currently at UBS SECURITIES LLC located in Miami, Florida.

Emma is registered as a RR (Registered Representative) and started their career in finance in 2021. Emma has worked at 2 firms and has passed the Series 63, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Emma Katz

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Emma Kate Katz's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

September 13, 2023 - Present

UBS SECURITIES LLC

Office #1: 100 Se 2nd Street Suite 2500, Miami, FL 33131
BD
CRD#: 7654
Miami, FL
Past

September 2, 2021 - August 14, 2023

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

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 them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(9/13/2023)
RR
Alaska
(9/13/2023)
RR
Arizona
(9/13/2023)
RR
Arkansas
(9/13/2023)
RR
California
(9/13/2023)
RR
Colorado
(9/13/2023)
RR
Connecticut
(9/13/2023)
RR
Delaware
(9/13/2023)
RR
District of Columbia
(9/13/2023)
RR
Florida
(9/13/2023)
RR
Georgia
(9/13/2023)
RR
Hawaii
(9/13/2023)
RR
Idaho
(9/13/2023)
RR
Illinois
(9/13/2023)
RR
Indiana
(9/13/2023)
RR
Iowa
(9/13/2023)
RR
Kansas
(9/13/2023)
RR
Kentucky
(9/13/2023)
RR
Louisiana
(9/13/2023)
RR
Maine
(9/13/2023)
RR
Maryland
(9/13/2023)
RR
Massachusetts
(9/13/2023)
RR
Michigan
(9/13/2023)
RR
Minnesota
(9/13/2023)
RR
Mississippi
(9/13/2023)
RR
Missouri
(9/13/2023)
RR
Montana
(9/13/2023)
RR
Nebraska
(9/13/2023)
RR
Nevada
(9/13/2023)
RR
New Hampshire
(9/13/2023)
RR
New Jersey
(9/13/2023)
RR
New Mexico
(9/13/2023)
RR
New York
(9/13/2023)
RR
North Carolina
(9/13/2023)
RR
North Dakota
(9/13/2023)
RR
Ohio
(9/13/2023)
RR
Oklahoma
(9/13/2023)
RR
Oregon
(9/13/2023)
RR
Pennsylvania
(9/13/2023)
RR
Puerto Rico
(9/13/2023)
RR
Rhode Island
(9/13/2023)
RR
South Carolina
(9/13/2023)
RR
South Dakota
(9/13/2023)
RR
Tennessee
(9/13/2023)
RR
Texas
(9/13/2023)
RR
Utah
(9/13/2023)
RR
Vermont
(9/13/2023)
RR
Virginia
(9/13/2023)
RR
Washington
(9/13/2023)
RR
West Virginia
(9/13/2023)
RR
Wisconsin
(9/13/2023)
RR
Wyoming
(9/13/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 9/23/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 9/2/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/6/2021
Securities Industry Essentials Examination
SRO Registrations
RR
24X National Exchange LLC
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

US
UBS SECURITIES LLC
BRUNSWICK UBS WARBURG | WARBURG DILLON READ LLC | UBS WARBURG LLC | UBS SECURITIES LLC | UBS SECURITIES INC. | UBS INVESTMENT BANK

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

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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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
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

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

Direct owners and executive officers

NamePositionCRD#
UBS AMERICAS INCMEMBER, VOTING
CASAVECHIA, RICHARD MICHAELMANAGING DIRECTOR, SENIOR MANAGER INVESTMENT BANKING4732235
DIMARCO, PATRICK MCHIEF COMPLIANCE OFFICER4549136
EBERT, MICHAEL JPRESIDENT AND CHAIR OF THE BOARD4556059
HAZELWOOD, TRICIAMANAGING DIRECTOR, SENIOR MANAGER TRADING & SALES4232035
LOFTUS, MICHAEL LMANAGING ATTORNEY, INVESTMENT BANKING & CAPITAL MARKETS4176467
MATTONE, RALPH MICHAELPRINCIPAL FINANCIAL OFFICER1840894
NIETO, CALLUMPRINCIPAL OPERATIONS OFFICER6765482
VAN TASSEL, JAMES CMANAGING DIRECTOR, US EQUITIES RESEARCH2558212

Disclosures

Regulatory Event308
Civil Event4
Arbitration3

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.

Company Information

UBS SECURITIES LLC

CRD#: 7654Miami, FL 33131

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