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Jonathan Waters

UBS Securities LLC

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About Jonathan Waters

Jonathan Waters is a financial advisor who has been in the industry since 2009. Currently, Jonathan Waters is registered with UBS Securities LLC. Previously, Jonathan Waters was registered with Morgan Stanley, Morgan Stanley & Co. LLC and UBS Financial Services Inc.. Jonathan Waters holds a Series 3, Series 7, Series 9, Series 10 and Series 66 license. Jonathan Waters is registered in Utah.

Firm Information

Jonathan Waters 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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Jonathan Waters’s Registration & Firm History

NY

03/15/2023 - Present

UBS Securities LLC (NEW YORK NY)

NY

05/26/2020 - 03/09/2023

MORGAN STANLEY (PURCHASE NY)

NY

01/20/2017 - 05/26/2020

MORGAN STANLEY & CO. LLC (NEW YORK NY)

NY

03/07/2014 - 08/27/2015

MORGAN STANLEY & CO. LLC (NEW YORK NY)

NJ

02/25/2008 - 12/23/2013

UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)

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Licenses & Designations

BOTH

Issued 06/25/2008

Series 66 - Uniform Combined State Law Examination

BC

Issued 04/17/2013

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 04/02/2013

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/19/2013

Series 3 - National Commodity Futures Examination

BC

Issued 02/22/2008

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 Jonathan Waters.
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