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Nikesh James Mistry

UBS Securities LLC

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About Nikesh James Mistry

Nikesh Mistry is a financial professional currently registered with UBS Securities LLC. Nikesh has been in the industry for over a year, with experience at both Credit Suisse Securities (USA) LLC and UBS Securities LLC. Nikesh is licensed to conduct business in the State of New York.

Firm Information

Nikesh Mistry 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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Nikesh Mistry’s Registration & Firm History

NY

11/20/2023 - Present

UBS Securities LLC (New York NY)

NY

06/22/2023 - 11/20/2023

CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 06/22/2023

SIE - Securities Industry Essentials Examination

BC

Issued 05/26/2023

Series 79TO - Investment Banking Registered Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Nikesh James Mistry.
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