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Dariush Sarrafzadeh

UBS Securities LLC

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About Dariush Sarrafzadeh

Dariush Sarrafzadeh is a financial advisor located in San Francisco, California. Dariush is registered with UBS Securities LLC and holds Series 63, SIE, Series 7TO, and Series 79TO licenses. Dariush has been in the financial services industry for over one year. Prior to joining UBS Securities LLC, Dariush was employed by CREDIT SUISSE SECURITIES (USA) LLC.

Firm Information

Dariush Sarrafzadeh 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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Dariush Sarrafzadeh’s Registration & Firm History

CA

09/29/2023 - Present

UBS Securities LLC (SAN FRANCISCO CA)

CA

09/02/2022 - 09/29/2023

CREDIT SUISSE SECURITIES (USA) LLC (San Francisco CA)

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Licenses & Designations

BC

Issued 08/27/2022

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/01/2022

SIE - Securities Industry Essentials Examination

BC

Issued 08/26/2022

Series 7TO - General Securities Representative Examination

BC

Issued 08/13/2022

Series 79TO - Investment Banking Registered 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 Dariush Sarrafzadeh.
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