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Christopher Andrew Marsicano

UBS Securities LLC

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About Christopher Andrew Marsicano

Christopher Andrew Marsicano is a financial advisor with UBS Securities LLC. He has been in the financial services industry since November 30, 2012. Previously, Christopher Marsicano worked at UBS Financial Services Inc. and NYLIFE Distributors LLC. Christopher Marsicano holds Series 66, SIE, Series 79 and Series 7 licenses. He is registered to provide securities services in all states and jurisdictions.

Firm Information

Christopher Marsicano 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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Christopher Marsicano’s Registration & Firm History

NY

04/16/2014 - Present

UBS Securities LLC (New York NY)

NJ

02/01/2013 - 08/09/2017

UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)

NY

11/22/2012 - 01/22/2013

NYLIFE DISTRIBUTORS LLC (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 12/21/2012

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/20/2017

Series 79 - Investment Banking Registered Representative Examination

BC

Issued 11/21/2012

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 Christopher Andrew Marsicano.
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