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Type: Dual Registration

Lyle Casriel is a financial professional at UBS Financial Services Inc., a broker-dealer with over 12,600 registered representatives nationwide. Lyle has held an industry securities registration for 7 years and is subject to SEC and FINRA oversight.

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Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Lyle Casriel has not answered any questions on Financial Q&A.

Top Guides

Lyle Casriel has not contributed any Financial Guides.
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Firm Client Types

Banking or Thrift Institutions
Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses
State or Municipal Government Entities
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

Employer Years Dates
Ubs Financial Services Inc 5 years, 6 months Oct 2008 - Present
Barclays Capital Inc. 1 month Sep 2008 - Oct 2008
Lehman Brothers Inc 2 years, 1 month Aug 2006 - Sep 2008
Marriage - Travel 3 months May 2006 - Aug 2006
Usc Marshall School of Business 9 months Aug 2005 - May 2006
Lehman Brothers 2 months Jun 2005 - Aug 2005
Usc Marshall School of Business 9 months Aug 2004 - May 2005
Homemaking - Travel 6 months Feb 2004 - Aug 2004
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 04/22/2013, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

License Status

No Disclosures Found

No Disclosures Found

As of Date
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

Exam Series Passed Date
National Commodity Futures Examination Series 3 12/04/2006
Uniform Combined State Law Examination Series 66 08/30/2006
General Securities Representative Examination Series 7 08/24/2006

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions