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Todd Edward Holloman

UBS Securities LLC

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About Todd Edward Holloman

Todd Holloman is a financial professional with over 15 years of experience in the industry. Todd is currently registered with UBS Securities LLC and has been with the firm since March 2019. Prior to that, Todd was with OpenDoor Securities LLC and MTS Markets International, Inc. Todd's professional experience includes holding various roles at UBS Financial Services Inc. and World Group Securities, Inc.

Firm Information

Todd Holloman 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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Todd Holloman’s Registration & Firm History

CT

03/26/2019 - Present

UBS Securities LLC (STAMFORD CT)

NJ

05/19/2017 - 11/02/2018

OPENDOOR SECURITIES LLC (Jersey City NJ)

NY

04/14/2014 - 08/15/2017

MTS MARKETS INTERNATIONAL, INC. (NEW YORK NY)

NY

02/06/2007 - 07/22/2013

UBS SECURITIES LLC (NEW YORK NY)

NY

07/08/2005 - 09/13/2006

WORLD GROUP SECURITIES, INC. (NEW YORK NY)

NJ

03/29/2004 - 07/23/2004

UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)

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Licenses & Designations

BC

Issued 07/16/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/26/2004

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 3 public disclosures for Todd Edward Holloman. Review regulatory record here.
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