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Mary James Sutherland

UBS Securities LLC

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About Mary James Sutherland

Mary Sutherland is a financial professional with over 23 years of experience in the industry. Mary is currently registered with UBS Securities LLC and holds a variety of licenses and registrations, including Series 3, 7, 9, 10, 24, and 63. Mary's previous experience includes a role at Goldman Sachs & Co. LLC.

Firm Information

Mary Sutherland 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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Mary Sutherland’s Registration & Firm History

NY

05/21/2018 - Present

UBS Securities LLC (NEW YORK NY)

NY

01/19/2000 - 06/12/2018

GOLDMAN SACHS & CO. LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 05/17/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/11/2023

Series 24 - General Securities Principal Examination

BC

Issued 11/07/2008

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/08/2008

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/11/2003

Series 3 - National Commodity Futures Examination

BC

Issued 01/18/2000

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 Mary James Sutherland.
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