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Matthew Daniel York

UBS Securities LLC

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About Matthew Daniel York

Matthew Daniel York is a financial advisor with over 20 years of experience in the industry. Currently, Matthew is registered with UBS Securities LLC and is located in New York, NY. Matthew has previously worked at UBS Financial Services Inc., American Express Financial Advisors Inc., and IDS Life Insurance Company. Matthew is licensed to offer investment advice in the state of Tennessee.

Firm Information

Matthew York 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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Matthew York’s Registration & Firm History

NY

11/10/2022 - Present

UBS Securities LLC (NEW YORK NY)

NJ

11/21/2003 - 11/10/2022

UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)

MN

03/19/2003 - 10/24/2003

AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)

MN

03/19/2003 - 10/24/2003

IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)

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Licenses & Designations

BOTH

Issued 04/01/2003

Series 66 - Uniform Combined State Law Examination

BC

Issued 07/20/2009

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/17/2003

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 Matthew Daniel York.
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