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Steven Craig Studnicky

UBS Securities LLC

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About Steven Craig Studnicky

Steven Craig Studnicky is an active investment advisor with UBS Securities LLC. Steven has been in the financial industry since November 12, 2008 and has been with UBS Securities LLC since July 28, 2020. Previously, Steven worked at PIPER SANDLER & CO. and MUFG SECURITIES AMERICAS INC.. Steven holds the Series 63, SIE, Series 79, and Series 7 licenses.

Firm Information

Steven Studnicky 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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Steven Studnicky’s Registration & Firm History

NY

07/28/2020 - Present

UBS Securities LLC (NEW YORK NY)

NY

08/20/2018 - 07/13/2020

PIPER SANDLER & CO. (NEW YORK NY)

NY

02/26/2014 - 06/25/2018

MUFG SECURITIES AMERICAS INC. (NEW YORK NY)

CA

09/04/2008 - 02/27/2014

LAZARD CAPITAL MARKETS LLC (SAN FRANCISCO CA)

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Licenses & Designations

BC

Issued 10/09/2008

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/03/2014

Series 79 - Investment Banking Registered Representative Examination

BC

Issued 09/02/2008

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 Steven Craig Studnicky.
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