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Samuel Mullen

UBS Securities LLC

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About Samuel Mullen

Samuel Mullen is a financial professional with UBS Securities LLC. Samuel has a strong foundation in the financial industry, having passed the Operations Professional Examination (Series 99TO) and the Securities Industry Essentials Examination (SIE) in March 2024. Samuel is currently located at the UBS Securities LLC branch office in New York, NY.

Firm Information

Samuel Mullen 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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Samuel Mullen’s Registration & Firm History

NY

03/11/2024 - Present

UBS Securities LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 03/09/2024

Series 99TO - Operations Professional Examination

BC

Issued 03/09/2024

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Samuel Mullen.
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