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Michael Vincent McCuin

UBS Securities LLC

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About Michael Vincent McCuin

Michael Vincent McCuin is a financial advisor who is registered with UBS Securities LLC. Michael has been in the securities industry since December 6, 2003. Michael is currently registered in all 50 states, the District of Columbia, and Puerto Rico. Michael has a Series 7, Series 55, and Series 63 license.

Firm Information

Michael McCuin 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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Michael McCuin’s Registration & Firm History

MA

05/27/2020 - Present

UBS Securities LLC (BOSTON MA)

NY

11/07/2017 - 05/08/2020

JEFFERIES LLC (NEW YORK NY)

NY

08/02/2010 - 10/30/2017

BTIG, LLC (NEW YORK NY)

MA

10/22/2007 - 03/04/2009

J.P. MORGAN SECURITIES INC. (BOSTON MA)

MA

10/22/2007 - 12/31/2008

J.P. MORGAN CLEARING CORP. (BOSTON MA)

MA

05/08/2002 - 09/13/2007

CIBC WORLD MARKETS CORP. (BOSTON MA)

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Licenses & Designations

BC

Issued 06/24/2002

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/11/2006

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 05/07/2002

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 Michael Vincent McCuin.
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