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Robbie James Newman

UBS Securities LLC

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About Robbie James Newman

Robbie Newman is a financial professional with over 16 years of experience in the financial services industry. Robbie currently works at UBS Securities LLC. Robbie has a Series 7, Series 55, Series 63, SIE, Series 57TO, and Series 79TO licenses. Robbie was previously employed by Morgan Stanley, Morgan Stanley & Co. Incorporated, and Morgan Stanley DW Inc. Robbie is registered in 52 states, Puerto Rico, and the District of Columbia.

Firm Information

Robbie Newman 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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Robbie Newman’s Registration & Firm History

NY

05/24/2016 - Present

UBS Securities LLC (NEW YORK NY)

NY

06/01/2009 - 06/16/2016

MORGAN STANLEY (PURCHASE NY)

NY

04/02/2007 - 06/01/2009

MORGAN STANLEY & CO. INCORPORATED (NEW YORK NY)

NY

10/25/2006 - 04/02/2007

MORGAN STANLEY DW INC. (PURCHASE NY)

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Licenses & Designations

BC

Issued 12/13/2006

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/22/2008

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 10/24/2006

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 Robbie James Newman.
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