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Paul Christakos

UBS Securities LLC

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About Paul Christakos

Paul Christakos is a financial professional with over 10 years of experience in the industry. Paul is currently registered with UBS Securities LLC. Paul has a wide range of experience and holds multiple licenses including Series 7, 63, 24, 99 and SIE. Paul is also licensed in over 50 states. Paul previously worked at UBS Financial Services Inc. where they were registered with both FINRA and the SEC.

Firm Information

Paul Christakos 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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Paul Christakos’s Registration & Firm History

CT

06/21/2012 - Present

UBS Securities LLC (STAMFORD CT)

NJ

08/13/2014 - 03/30/2022

UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)

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Licenses & Designations

BC

Issued 10/22/2022

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/29/2024

Series 24 - General Securities Principal Examination

BC

Issued 03/06/2022

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/20/2012

Series 99 - Operations Professional 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 Paul Christakos.
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