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Brian Volpe

UBS Securities LLC

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About Brian Volpe

Brian Volpe has been in the securities industry since July 1998. Brian is currently registered with UBS Securities LLC in New York, NY. Brian's previous experience includes positions at CREDIT SUISSE SECURITIES (USA) LLC and DEUTSCHE BANK SECURITIES INC. Brian has passed the Series 3, Series 7, Series 55, Series 57TO, and SIE exams.

Firm Information

Brian Volpe 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 Volpe’s Registration & Firm History

NY

09/29/2023 - Present

UBS Securities LLC (NEW YORK NY)

NY

07/29/1999 - 09/29/2023

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

NY

06/14/1999 - 07/27/1999

DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)

MD

07/09/1998 - 06/14/1999

BT ALEX. BROWN INCORPORATED (BALTIMORE MD)

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Licenses & Designations

BC

Issued 04/30/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/10/2014

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 01/16/2009

Series 3 - National Commodity Futures Examination

BC

Issued 07/07/1998

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 Volpe.
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