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UBS SECURITIES LLC
NEW YORK, NY
212-713-3000
SEC #801-67178Total AUM
$0
Employees
2,700Clients
0Firm overview
Client Breakdown by AUM
AUM previous 5 years
Smooth / Detailed
Business
Principal Address
1285 AVENUE OF THE AMERICAS
NEW YORK
NY 10019
United States
NEW YORK
NY 10019
United States
Operating Hours
9 AM - 5 PM
Monday - Friday
Monday - Friday
Phone
212-713-3000
Financials
Total AUM
$0
Accounts
0Discretionary
$0
Accounts
0Non-Discretionary
$0
Accounts
0
Clients
None reported
Services
Services Offered
Other Services
Other Services
PROVISION OF SECURITIES TRADING IDEAS AND RESEARCH
Compensation Types
Charges Other Fee
Other Compensation
FEE FOR SECURITIES TRADING IDEAS AND RESEARCH
Compliance
Disclosures
Court Injunction (Past 10 Years)Court Violation FindingDismissed Civil Action (Settlement)Felony ChargeOther Regulator Denial/Suspension/RevocationOther Regulator False Statement/DishonestyOther Regulator Order (Past 10 Years)Other Regulator Violation FindingPending Civil ProceedingPending Regulatory ProceedingSEC/CFTC False Statement FindingSEC/CFTC Order EntrySEC/CFTC Penalty/Cease-and-DesistSEC/CFTC Violation FindingSRO Rule Violation
State Registrations
ILMA
Affiliates
Affiliates
Reported 2 business affiliates.
Claimed Affiliates
Reported as an affiliate by 0 other businesses.