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Stephanie Celi

UBS Securities LLC

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About Stephanie Celi

Stephanie Celi is a securities professional with over 25 years of experience in the industry. Stephanie is currently registered with UBS Securities LLC and holds Series 7, 7TO, SIE and Series 63 licenses. Stephanie's previous experience includes roles at Credit Suisse First Boston Corporation, The Brass Utility, L.L.C., National Discount Brokers and Gaines, Berland Inc.. Stephanie is registered in Connecticut.

Firm Information

Stephanie Celi 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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Stephanie Celi’s Registration & Firm History

NY

12/18/2023 - Present

UBS Securities LLC (NEW YORK NY)

NY

01/10/2001 - 07/19/2002

CREDIT SUISSE FIRST BOSTON CORPORATION (NEW YORK NY)

NY

04/13/1999 - 12/20/1999

THE BRASS UTILITY, L.L.C. (NEW YORK NY)

NE

11/13/1997 - 03/23/1999

NATIONAL DISCOUNT BROKERS (OMAHA NE)

NY

11/25/1996 - 07/18/1997

GAINES, BERLAND INC. (BETHPAGE NY)

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Licenses & Designations

BC

Issued 02/05/2024

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/18/2023

Series 7TO - General Securities Representative Examination

BC

Issued 10/23/2023

SIE - Securities Industry Essentials Examination

BC

Issued 11/22/1996

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 Stephanie Celi.
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