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Lisa Marie Petrelli

UBS Securities LLC

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About Lisa Marie Petrelli

Lisa Petrelli is a financial advisor with UBS Securities LLC. Lisa has been in the securities industry since December 15, 1997. Lisa has Series 7 and Series 63 securities licenses. Lisa was previously registered with Goldman, Sachs & Co., Credit Suisse First Boston Corporation, Morgan Stanley & Co., Incorporated, and Deacon Capital (USA) Inc.

Firm Information

Lisa Petrelli 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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Lisa Petrelli’s Registration & Firm History

NY

09/26/2003 - Present

UBS Securities LLC (NEW YORK NY)

NY

04/13/2000 - 02/24/2003

GOLDMAN, SACHS & CO. (NEW YORK NY)

NY

07/07/1999 - 03/29/2000

CREDIT SUISSE FIRST BOSTON CORPORATION (NEW YORK NY)

NY

10/20/1998 - 06/08/1999

MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)

NA

02/18/1997 - 09/03/1998

DEACON CAPITAL (USA) INC. (TORONTO )

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Licenses & Designations

BC

Issued 12/18/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/26/1996

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

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 Lisa Marie Petrelli.
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