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Nestor Tatis

UBS Securities LLC

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About Nestor Tatis

Nestor Tatis is a financial advisor who has been in the industry since 1986. Nestor has a diverse range of experience with firms like UBS Securities LLC and UBS Financial Services Inc., and is a registered representative in 53 states and territories. Nestor holds a Series 7, Series 55, Series 57TO and the SIE licenses.

Firm Information

Nestor Tatis 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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Nestor Tatis’s Registration & Firm History

NJ

10/28/2020 - Present

UBS Securities LLC (Weehawken NJ)

NJ

03/27/2007 - 11/06/2013

UBS SECURITIES LLC (WEEHAWKEN NJ)

NJ

02/02/1989 - 04/09/2007

UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)

NA

12/26/1986 - 04/23/1988

GLICKENHAUS & CO. - NEW JERSEY

NA

04/27/1985 - 12/26/1986

LISS TENNER & GOLDBERG SECURITIES CORPORATION

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Licenses & Designations

BC

Issued 02/18/1986

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/13/1999

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 10/20/1984

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 Nestor Tatis.
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