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Patrice Anne Naughton

UBS Securities LLC

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About Patrice Anne Naughton

Patrice Anne Naughton is a registered representative with UBS Securities LLC. Patrice has been in the securities industry since 1989. Patrice has a wide range of experience, having previously worked at MF Global Inc., Bay Crest Partners, LLC and J.P. Morgan Securities Inc. Patrice holds the Series 7, Series 24, SIE, and Series 99TO licenses. Patrice is also a Registered Representative.

Firm Information

Patrice Naughton 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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Patrice Naughton’s Registration & Firm History

NY

06/14/2012 - Present

UBS Securities LLC (NEW YORK NY)

NY

05/03/2011 - 12/05/2011

MF GLOBAL INC. (NEW YORK NY)

NY

06/18/2009 - 08/03/2010

BAY CREST PARTNERS, LLC (NEW YORK NY)

NY

10/20/1987 - 10/22/2008

J.P.MORGAN SECURITIES INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 11/11/2005

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/17/1987

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 Patrice Anne Naughton.
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