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Jay Daniel Sole

UBS Securities LLC

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About Jay Daniel Sole

Jay Daniel Sole is a financial advisor currently registered with UBS Securities LLC. Jay has been in the financial industry since 2006 and is licensed to conduct business in all 50 states and the District of Columbia. Jay holds the Series 7, 63, 86, and 87 licenses, as well as the SIE. Jay's previous experience includes working with Morgan Stanley & Co. LLC.

Firm Information

Jay Sole 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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Jay Sole’s Registration & Firm History

CT

01/19/2018 - Present

UBS Securities LLC (STAMFORD CT)

NY

10/05/2006 - 01/16/2018

MORGAN STANLEY & CO. LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 10/14/2006

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/27/2006

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 12/09/2006

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 09/30/2006

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 Jay Daniel Sole.
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