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Allen Allen lister Bouch

UBS Securities LLC

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About Allen Allen lister Bouch

Allen Bouch is a financial advisor with over 24 years of experience in the industry. Allen has held positions at Citigroup Global Markets Inc. and Salomon Brothers Inc. before joining UBS Securities LLC in 2009. Allen is registered with FINRA and holds Series 7, 24, 63, 79TO and SIE licenses. Allen is also registered as a broker-dealer in all states.

Firm Information

Allen Bouch is currently registered with UBS Securities LLC. UBS Securities LLC is a Limited Liability Company formed on June 29, 1998. The firm is registered with the SEC and in all 50 states, as well as in Puerto Rico. UBS Securities LLC has been involved in 307 regulatory events, 5 civil events, and 3 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

507

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Allen Bouch’s Registration & Firm History

CA

11/06/2009 - Present

UBS Securities LLC (SAN FRANCISCO CA)

CA

11/28/1997 - 01/10/2009

CITIGROUP GLOBAL MARKETS INC. (SAN FRANCISCO CA)

NY

03/12/1997 - 09/01/1998

SALOMON BROTHERS INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 04/21/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/25/2002

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/11/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Allen Allen lister Bouch.
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