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Kevin Kappel

UBS Securities LLC

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About Kevin Kappel

Kevin Kappel is a financial advisor based in New York, NY with over 25 years of experience in the industry. Kevin is currently registered with UBS Securities LLC. Kevin has previously been registered with BNP Paribas Securities Corp., Credit Suisse Securities (USA) LLC, and D. H. Blair & Co., Inc. Kevin holds the following licenses: Series 7, Series 24, Series 52, Series 63, Series 79, and SIE.

Firm Information

Kevin Kappel 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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Kevin Kappel’s Registration & Firm History

NY

12/04/2020 - Present

UBS Securities LLC (New York NY)

NY

12/11/2018 - 10/05/2020

BNP PARIBAS SECURITIES CORP. (NEW YORK NY)

NY

12/01/1997 - 09/28/2018

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

NY

01/31/1996 - 12/19/1996

D. H. BLAIR & CO., INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 02/06/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/16/2006

Series 24 - General Securities Principal Examination

BC

Issued 04/26/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 09/28/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/30/1996

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 Kevin Kappel.
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