linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Alvin Harold Shrago

UBS Securities LLC

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Alvin? Claim Your Profile

About Alvin Harold Shrago

Alvin Harold Shrago has been working in the financial industry since 1997. Alvin is currently registered with UBS Securities LLC and is based in New York, New York. Alvin has held previous positions at Deutsche Bank Securities Inc., TD Securities (USA) Inc., and CitiCorp Securities, Inc. Alvin has passed the Series 4, 7, 24 and 63 exams.

Firm Information

Alvin Shrago 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.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Alvin Shrago’s Registration & Firm History

NY

10/26/2010 - Present

UBS Securities LLC (NEW YORK NY)

NY

01/07/2004 - 12/31/2008

DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)

NY

04/07/1998 - 10/28/2003

TD SECURITIES (USA) INC. (NEW YORK NY)

NY

08/01/1995 - 03/31/1998

CITICORP SECURITIES, INC. (NEW YORK NY)

Not sure if Alvin Harold Shrago is right for you?

Licenses & Designations

BC

Issued 09/15/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/29/2005

Series 4 - Registered Options Principal Examination

BC

Issued 11/10/1997

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/31/1995

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 Alvin Harold Shrago.
Not sure if Alvin Harold Shrago is right for you?