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David Juge

UBS Securities LLC

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About David Juge

David Juge is a financial advisor with over 27 years of experience in the securities industry. David is currently registered with UBS Securities LLC and has been with the firm since 2000. Prior to that, David worked at UBS Financial Services Inc. from 2019 to 2024, Lehman Brothers Inc. from 1998 to 2000, and Chase Securities Inc. from 1996 to 1997. David is a Series 7, Series 24, Series 63, and Series 79TO licensed representative and holds the SIE designation. David is licensed to sell securities in all 50 states.

Firm Information

David Juge 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 Juge’s Registration & Firm History

NY

04/27/2000 - Present

UBS Securities LLC (NEW YORK NY)

NY

11/13/2019 - 04/03/2024

UBS FINANCIAL SERVICES INC. (New York NY)

NY

01/13/1998 - 04/20/2000

LEHMAN BROTHERS INC. (NEW YORK NY)

NY

07/25/1996 - 11/20/1997

CHASE SECURITIES INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 10/01/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/31/2005

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 07/24/1996

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 Juge.
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