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Brian Conrad Flores

UBS Securities LLC

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About Brian Conrad Flores

Brian Conrad Flores is a financial advisor with UBS Securities LLC. Brian has been in the financial industry since November 11, 2001. Previously, Brian worked at CREDIT SUISSE SECURITIES (USA) LLC, OPPENHEIMER & CO. INC., and CIBC WORLD MARKETS CORP.. Brian is registered with the Financial Industry Regulatory Authority (FINRA) and is licensed in all 50 states, the District of Columbia, and Puerto Rico. Brian holds the Series 7, Series 63, Series 86, Series 87, and SIE licenses.

Firm Information

Brian Flores 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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Brian Flores’s Registration & Firm History

NY

08/22/2023 - Present

UBS Securities LLC (NEW YORK NY)

NY

02/01/2010 - 08/18/2023

CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)

NY

01/14/2008 - 02/03/2010

OPPENHEIMER & CO. INC. (NEW YORK NY)

NY

11/08/2001 - 01/14/2008

CIBC WORLD MARKETS CORP. (NEW YORK NY)

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Licenses & Designations

BC

Issued 06/25/2002

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/22/2004

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 09/24/2004

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 11/06/2001

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 Brian Conrad Flores.
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