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Frank Michael Windels

UBS Securities LLC

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About Frank Michael Windels

Frank Windels is an experienced financial professional who has been in the industry since 1994. Frank is currently registered with UBS Securities LLC and is a licensed General Securities Principal. He has held previous positions at Deutsche Bank Securities Inc. and S.G. Warburg & Co. Inc.. Frank holds multiple licenses and certifications, including Series 7, 24, 57, 63, 79TO, and SIE, reflecting his diverse expertise in the financial services industry.

Firm Information

Frank Windels 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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Frank Windels’s Registration & Firm History

NY

12/03/2018 - Present

UBS Securities LLC (NEW YORK NY)

NY

03/13/1996 - 12/04/2018

DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)

NY

11/03/1994 - 02/29/1996

S.G. WARBURG & CO. INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 01/16/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/22/2008

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 01/10/2017

Series 57 - Securities Trader Exam

BC

Issued 11/02/1994

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 Frank Michael Windels.
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