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Martin Heinimann

UBS Securities LLC

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About Martin Heinimann

Martin Heinimann is a financial professional with over 20 years of experience in the industry. He has held various roles at UBS Financial Services Inc., UBS International Inc., and UBS Warburg LLC. Currently, Martin is registered with UBS Securities LLC as a registered representative in New Jersey and New York. He holds the Series 7, Series 27, Series 66, Series 99, and SIE licenses.

Firm Information

Martin Heinimann 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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Martin Heinimann’s Registration & Firm History

NY

08/27/2014 - Present

UBS Securities LLC (NEW YORK NY)

NY

01/01/2010 - 01/07/2013

UBS FINANCIAL SERVICES INC. (NEW YORK NY)

NY

09/17/2001 - 01/01/2010

UBS INTERNATIONAL INC. (NEW YORK NY)

NY

08/08/2000 - 09/17/2001

UBS WARBURG LLC (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 12/14/2000

Series 66 - Uniform Combined State Law Examination

BC

Issued 04/04/2001

Series 27 - Financial and Operations Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/07/2000

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 Martin Heinimann.
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