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Graham Paul Boak

UBS Securities LLC

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About Graham Paul Boak

Graham Paul Boak is an active FINRA-registered individual currently associated with UBS Securities LLC. Graham has been in the securities industry since June 3, 2020. Graham holds the Series 99TO and SIE exams. Prior to joining UBS Securities LLC, Graham was associated with CREDIT SUISSE SECURITIES (USA) LLC.

Firm Information

Graham Boak 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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Graham Boak’s Registration & Firm History

NY

05/30/2024 - Present

UBS Securities LLC (NEW YORK NY)

NY

06/03/2020 - 05/29/2024

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

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Licenses & Designations

BC

Issued 06/03/2020

Series 99TO - Operations Professional Examination

BC

Issued 02/13/2020

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Graham Paul Boak.
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