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David Beirne Lovely

UBS Securities LLC

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About David Beirne Lovely

David Lovely is a financial advisor with UBS Securities LLC. David has been in the financial services industry since October 8, 2003. David is registered with the Financial Industry Regulatory Authority (FINRA) as a General Securities Principal (Series 24) and has held this designation since April 23, 2014. David is registered in 52 states and is active in Broker-Dealer (BC) regulation and inactive in Investment Advisor (IA) regulation. David has a total of 25 registrations with approved SROs and 1 approved FINRA registrations.

Firm Information

David Lovely 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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David Lovely’s Registration & Firm History

MA

06/11/2004 - Present

UBS Securities LLC (BOSTON MA)

NY

08/09/2001 - 04/12/2002

J.P. MORGAN SECURITIES INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 06/17/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/23/2014

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/28/2006

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 06/10/2004

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 David Beirne Lovely.
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