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Darcie Eckert

UBS Securities LLC

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About Darcie Eckert

Darcie Eckert is a financial professional with over 19 years of experience in the industry. Darcie currently works as a Registered Representative at UBS Securities LLC. Previously, Darcie was registered with Credit Suisse Securities (USA) LLC, SG Cowen Securities Corporation, and Josephthal & Co., Inc. Darcie is licensed in New York and has Series 7, 24, 55, 63, 79 and SIE licenses.

Firm Information

Darcie Eckert 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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Darcie Eckert’s Registration & Firm History

NY

02/15/2024 - Present

UBS Securities LLC (NEW YORK NY)

NY

02/10/2009 - 11/20/2023

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

NY

03/09/1999 - 11/15/2002

SG COWEN SECURITIES CORPORATION (NEW YORK NY)

NA

02/09/1999 - 03/03/1999

SG COWEN SECURITIES CORPORATION

NY

03/11/1998 - 02/16/1999

JOSEPHTHAL & CO., INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 07/20/2023

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/12/2017

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/09/2009

Series 7 - General Securities Representative Examination

BC

Issued 01/12/2000

Series 55 - Limited Representative-Equity Trader Exam

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 Darcie Eckert.
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