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Mario A Jaume

UBS Securities LLC

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About Mario A Jaume

Mario Jaume is a financial professional with over 30 years of experience in the industry. Mario has a broad range of experience in the securities industry, including positions at UBS Financial Services Inc. and UBS Securities LLC. Mario holds several licenses including Series 3, 7, 24, 55, 57, and 63. Mario is currently registered with UBS Securities LLC in New York, New York. Mario is also registered with UBS Financial Services Inc. in Weehawken, New Jersey.

Firm Information

Mario Jaume 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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Mario Jaume’s Registration & Firm History

NY

08/04/2023 - Present

UBS Securities LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 08/30/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/30/2001

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/01/2010

Series 3 - National Commodity Futures Examination

BC

Issued 12/03/1999

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 08/29/1992

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 is public disclosure for Mario A Jaume. Review regulatory record here.
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