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Ubs Securities LLC

Ubs Securities LLC is a broker-dealer with over 1,881 financial professionals The firm's primary clients are Other Investment Advisors.

Advisors (1,881)

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Name Start Date
Aashish Makkar Apr 2010
Abraham Joseph Cohen Mar 2012
Abu Aviv Genio Ramin Mar 2010
Ac Morgan IV Apr 2009
Adam B Frisch Aug 2011
View All
*Unless otherwise noted, an advisor's inclusion in the above list is based on that advisor's registration as per their SEC registration filing. Please note that 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 advisor listed above may no longer be employed by that firm. Please contact the firm directly to determine the employment status of the advisors listed above.

Firm Assets Under Management

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Not Available
Total Assets
Not Available
Accounts
Not Available
Estimated Average Account Balance
*The AUM displayed is firm level data as reported on the SEC ADV filings and may not reflect all of a firm's assets.
*Average Account Balance is the total AUM of the firm divided by the number of accounts listed on the SEC ADV filing. This calculation is an estimate.

Ownership

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ownership pie chart
  •   Ubs Americas Inc (50% to 75%)
  •   UBS AG (25% to 50%)
  •   Executives with less than 5% share each

*The pie chart is not drawn to scale and is simply included to make the data visually understandable. The ownership is from the firm's or advisor's Form ADV. Executives with less than 5% share may not own any of the firm. Please see the Form ADV for complete disclosure.

Executives and Control Persons

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Name Title Tenure Date
Per Erik Dyrvik Managing Director, Chief Financial Officer 08/01/2007
Scott Elliot Kloin Executive Director, Chief Compliance Officer(Investment Advisor) 02/01/2010
David Andrew Bleustein Managing Director, Us Equities Research 03/01/2011
Reinhardt Olsen President, CEO, Md of Ubs Securites LLC and Americas Head of Prime Services 10/01/2011
Thomas Giacalone Managing Director, Head of Americas / Global Head of Cash Equity Operations 05/01/2011

Affiliated Investment Advisors and Broker Dealers

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No firm affiliates listed.

Principal Office & Place of Business

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Principal Office

Address:
1285 Avenue of the Americas
New York , NY 10019
Phone Number: 212-713-3000
Other Offices Address City State Zip
One North Wacker Drive Chicago IL 60606
555 California Street San Francisco CA 94104
1 International Place Boston MA 02110

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Other: FEE FOR SECURITIES TRADING IDEAS AND RESEARCH