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Samuel Varga

UBS Securities LLC

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About Samuel Varga

Samuel Varga is a registered representative with UBS Securities LLC. Samuel has been in the securities industry since March 13, 2021. Samuel holds the following licenses: Series 66, Series 87, Series 86, Series 7TO and SIE. Samuel is currently registered in 52 states.

Firm Information

Samuel Varga 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 Varga’s Registration & Firm History

CT

10/14/2022 - Present

UBS Securities LLC (STAMFORD CT)

ME

01/11/2021 - 08/11/2022

STEPHENS (Portland ME)

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Licenses & Designations

BOTH

Issued 02/26/2021

Series 66 - Uniform Combined State Law Examination

BC

Issued 04/17/2021

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 03/29/2021

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 01/11/2021

Series 7TO - General Securities Representative Examination

BC

Issued 12/18/2020

SIE - Securities Industry Essentials 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 Samuel Varga.
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