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Patricia Mary Rocis

UBS Securities LLC

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About Patricia Mary Rocis

Patricia Rocis has been in the financial services industry since 2008. Patricia is currently registered with UBS Securities LLC and UBS Financial Services Inc. Patricia has a broad range of experience in the financial services industry, including experience with Credit Suisse Securities (USA) LLC. Patricia is a Series 3, 4, 7, 16, 24, and SIE licensed professional.

Firm Information

Patricia Rocis 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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Patricia Rocis’s Registration & Firm History

NY

02/05/2024 - Present

UBS Securities LLC (NEW YORK NY)

NY

12/17/2007 - 12/19/2023

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

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Licenses & Designations

BC

Issued 06/15/2016

Series 24 - General Securities Principal Examination

BC

Issued 12/17/2010

Series 4 - Registered Options Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/19/2013

Series 3 - National Commodity Futures Examination

BC

Issued 10/04/2010

Series 7 - General Securities Representative Examination

BC

Issued 12/14/2007

Series 16 - NYSE Supervisory Analyst 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 Patricia Mary Rocis.
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