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William Fay

UBS Securities LLC

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About William Fay

William Fay is a financial advisor registered with UBS Securities LLC in Los Angeles, CA. William has over 7 years of experience in the financial services industry. William is licensed to provide securities-related services in California and New York. William holds the Series 7, Series 63, Series 79, Series 82TO, Series 99TO, and SIE licenses. William previously worked at Credit Suisse Securities (USA) LLC.

Firm Information

William Fay 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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William Fay’s Registration & Firm History

CA

09/29/2023 - Present

UBS Securities LLC (Los Angeles CA)

CA

08/08/2016 - 09/29/2023

CREDIT SUISSE SECURITIES (USA) LLC (LOS ANGELES CA)

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Licenses & Designations

BC

Issued 08/31/2022

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/19/2023

Series 82TO - Limited Representative-Private Securities Offerings

BC

Issued 09/19/2023

Series 99TO - Operations Professional Examination

BC

Issued 07/22/2022

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/08/2016

Series 79 - Investment Banking Registered 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 William Fay.
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