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Lacey Blair Laken

UBS Securities LLC

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About Lacey Blair Laken

Lacey Blair Laken is a financial professional registered with UBS Securities LLC. Lacey has been in the securities industry since 2017 and has been associated with UBS Securities LLC since August 2022. Previously, Lacey was employed by M2O Private Fund Advisors LLC and Houlihan Lokey Capital, Inc. Lacey holds the Series 7, Series 63, Series 79 and SIE licenses. Lacey is licensed to provide investment advice in all 50 states and the District of Columbia.

Firm Information

Lacey Laken 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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Lacey Laken’s Registration & Firm History

NY

08/17/2022 - Present

UBS Securities LLC (New York NY)

NY

08/20/2019 - 08/08/2022

M2O PRIVATE FUND ADVISORS LLC (WHITE PLAINS NY)

NY

05/11/2017 - 06/19/2019

HOULIHAN LOKEY CAPITAL, INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 04/05/2017

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/26/2019

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/11/2017

Series 79 - Investment Banking Registered 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 Lacey Blair Laken.
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