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Timothy John Kali

UBS Securities LLC

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About Timothy John Kali

Timothy Kali is a financial professional with over 20 years of experience in the industry. Timothy has worked with a number of firms, including J.P. Morgan Securities LLC, BNP Paribas Securities Corp., and Ameritrade, Inc. Timothy currently works with UBS Securities LLC. Timothy holds Series 7, 24, and 63 licenses and is currently registered with the state of New Jersey.

Firm Information

Timothy Kali 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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Timothy Kali’s Registration & Firm History

NY

04/06/2020 - Present

UBS Securities LLC (NEW YORK NY)

NY

08/08/2014 - 03/03/2020

J.P. MORGAN SECURITIES LLC (NEW YORK NY)

NY

01/05/2007 - 03/26/2013

BNP PARIBAS SECURITIES CORP. (NEW YORK NY)

NY

10/12/2005 - 01/22/2007

J.P. MORGAN SECURITIES INC. (NEW YORK NY)

CT

11/24/2003 - 09/30/2005

ABN AMRO INCORPORATED (STAMFORD CT)

NE

10/17/2002 - 01/06/2003

AMERITRADE, INC. (OMAHA NE)

NJ

06/30/2001 - 10/30/2002

DATEK ONLINE FINANCIAL SERVICES LLC (JERSEY CITY NJ)

NE

05/15/2000 - 06/30/2001

DATEK ONLINE BROKERAGE SERVICES LLC (OMAHA NE)

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Licenses & Designations

BC

Issued 07/10/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/13/2000

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/12/2000

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 Timothy John Kali.
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