UBS Securities LLC

Broker-DealerFINRA Member
Total AUM
—
Advisory reps
2,347
Avg account
$0

Firm details

Headquarters
New York, New York
CRD number
7654
Registered since
May 15, 1978

Firm profile

FINTRX

Overview

UBS Securities LLC is organized as a limited liability company and is classified in the data as an investment bank. Ownership is listed as a combination of a domestic entity and an individual. The profile indicates the firm does not serve as a capital allocator and is not identified as an active ESG investor. Available snapshot fields for client base, fee structure, advisory activities, and other business activities are blank in the source data; the firm has not supplied detailed public information about its service offerings or client segmentation. The record also indicates the entity is not designated as a multi-state adviser, not a newly formed adviser, and not a pension consultant or related adviser.

Location & Offices

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Owners & executives

3 of 24
  • Mark Haefele

    Mark Haefele

    Chief Investment Officer, Wealth ManagementCRD 6115769

  • Ralph Mattone

    Chief Financial OfficerCRD 1840894

  • Ben Prata

    Ben Prata

    Finance Chief Operating OfficerCRD 2185678

Unlock 21 more executives →

Contacts

3 of 2323
  • Kristen Liller

    Kristen Liller

    Executive DirectorCRD 5678152

  • Daniel Tenzer

    Daniel Tenzer

    Executive DirectorCRD 5691944

  • Dimitri Rassias

    Dimitri Rassias

    Product SpecialistCRD 5709989

Unlock 2320 more contacts →

Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

Location

Primary office

New York, NY

New York

Location

New York, NY

Headquartered in New York, NY, anchoring the New York-Newark, NY-NJ-CT-PA metro in the Northeast.

Metro area
New York-Newark, NY-NJ-CT-PA
Region
Northeast
County
New York
Address
11 Madison Ave
Time zone
ET (UTC-5)
Office locations

Similar firms

Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth