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FIRM PROFILE
Overview
UBS SECURITIES LLC is located at 11 Madison Avenue, New York, NY 10010 and was first established at Woodbridge, Delaware in 06/29/1998. After operating for 27 years, UBS SECURITIES LLC has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of UBS SECURITIES LLC’s clients are individuals and 0% of their clients are high net worth individuals. UBS SECURITIES LLC has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at UBS SECURITIES LLC are registered to handle securities or provide financial advice. The firm has 315 disclosures, 308 being regulatory events, 4 being client events, and 3 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access UBS SECURITIES LLC‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at UBS SECURITIES LLC. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.
Where the Statistical Data for UBS SECURITIES LLC Comes From
Understanding the Statistics for UBS SECURITIES LLC and How They Compare to Other Firms Through Our Analysis
Total Client Assets:
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FIRM INFORMATION
11 Madison Avenue, New York, NY 10010
1000 Harbor Boulevard, Weehawken, NJ 07086
Large
(201) 352-3000
Delaware since 06/29/1998
Limited Liability Company
December
FIRM DOCUMENTS
Part 2 Brochures
DIRECT OWNERS & EXECUTIVE OFFICERS
| Name | Title | Aquired | 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 |
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Advisor's working at UBS SECURITIES LLC
Katie M Burke
Grant Alan Olson
Steven Mark Kaiman
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