linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Robin Margaret Farley

UBS Securities LLC

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Robin? Claim Your Profile

About Robin Margaret Farley

Robin Farley is a financial advisor at UBS Securities LLC. Robin has been in the financial industry since June 21, 1994. Robin is registered with the Financial Industry Regulatory Authority (FINRA) and is licensed to sell securities in 52 states. Robin holds Series 7, Series 63, Series 87 and SIE licenses. Robin has worked at a number of firms in the past, including PaineWebber Incorporated, Deutsche Bank Securities Inc., BT Alex. Brown Incorporated and Ladenburg, Thalmann & Co., Inc.

Firm Information

Robin Farley 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.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Robin Farley’s Registration & Firm History

MN

11/03/2000 - Present

UBS Securities LLC (Minneapolis MN)

NJ

06/05/2000 - 11/03/2000

PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)

NY

06/07/1999 - 05/25/2000

DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)

MD

01/15/1995 - 06/07/1999

BT ALEX. BROWN INCORPORATED (BALTIMORE MD)

NY

05/06/1994 - 12/08/1994

LADENBURG, THALMANN & CO., INC. (NEW YORK NY)

Not sure if Robin Margaret Farley is right for you?

Licenses & Designations

BC

Issued 06/28/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/16/2004

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 05/05/1994

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 Robin Margaret Farley.
Not sure if Robin Margaret Farley is right for you?