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Chase Alexander Cornwell

UBS Securities LLC

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About Chase Alexander Cornwell

Chase Alexander Cornwell is a financial professional with over 7 years of experience in the industry. Chase currently works at UBS Securities LLC in New York, NY. Prior to this, Chase worked at UBS Financial Services Inc. in Weehawken, NJ and PeachCap in Atlanta, GA. Chase is a Series 7, Series 24, Series 52, Series 53, and Series 4 licensed professional. Chase is a highly experienced and qualified financial professional with a proven track record of success.

Firm Information

Chase Cornwell 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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Chase Cornwell’s Registration & Firm History

NY

08/31/2017 - Present

UBS Securities LLC (NEW YORK NY)

NJ

08/31/2017 - 03/11/2024

UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)

GA

09/26/2016 - 08/08/2017

PEACHCAP (ATLANTA GA)

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Licenses & Designations

BC

Issued 07/17/2017

Series 4 - Registered Options Principal Examination

BC

Issued 04/24/2017

Series 53 - Municipal Securities Principal Examination

BC

Issued 02/02/2017

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/27/2017

Series 52 - Municipal Securities Representative Examination

BC

Issued 09/26/2016

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 Chase Alexander Cornwell.
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