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Scott Breckheimer

UBS Securities LLC

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About Scott Breckheimer

Scott Breckheimer is a financial advisor with UBS Securities LLC. Scott has been in the financial industry since January 28, 2019. Scott is registered with the Financial Industry Regulatory Authority (FINRA) and holds the Series 7TO, Series 79TO, and SIE licenses. Scott is also registered in 52 states and the District of Columbia.

Firm Information

Scott Breckheimer 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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Scott Breckheimer’s Registration & Firm History

IL

09/29/2023 - Present

UBS Securities LLC (Chicago IL)

IL

01/29/2019 - 09/29/2023

CREDIT SUISSE SECURITIES (USA) LLC (CHICAGO IL)

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Licenses & Designations

BC

Issued 05/02/2022

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/03/2022

Series 7TO - General Securities Representative Examination

BC

Issued 01/29/2019

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 01/29/2019

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 Scott Breckheimer.
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