UBS Securities LLC
SEC-registered broker-dealer (File 00822651)
Public listing
- Legal name
- UBS Securities LLC
- License or register id
- SEC File 00822651
- State
- NJ
- City
- Weehawken
- Category
- Broker-Dealer, Futures Commission Merchant, Broker-Dealer (dual-registered)
- Official source
- SEC Company Information About Active Broker-Dealers
Verify this record on the official source named above before you hire, fund, or rely on it. An index listing is not an endorsement, a rating, or a review. Empty phone or address means that public file did not include it.
About
UBS Securities LLC is listed among active SEC-registered broker-dealers (CIK 230611, SEC file 00822651). Address fields from the SEC FOIA company information file. Ubs Securities LLC appears among Futures Commission Merchants on the CFTC financial data report (July 2026 FCM capital/reporting roster; registered as FCM BD; DSRO CBOT). Confirm current registration status via NFA BASIC / CFTC.
How to verify
How do I verify UBS Securities LLC?
Match the firm name and CRD or SEC file number on FINRA BrokerCheck or EDGAR.
What does this listing show?
The broker-dealer or securities registration from the SEC or FINRA public file.