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William John Giliberti

UBS Securities LLC

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About William John Giliberti

William John Giliberti is a financial professional with over 20 years of experience in the financial services industry. William is currently registered with UBS Securities LLC and UBS Financial Services Inc. William has held previous positions at several other firms, including Deutsche Bank Securities Inc., Barclays Capital Inc., and Goldman, Sachs & Co. William holds the Series 7, Series 99, and Securities Industry Essentials (SIE) licenses.

Firm Information

William Giliberti 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 Giliberti’s Registration & Firm History

NY

10/23/2019 - Present

UBS Securities LLC (NEW YORK NY)

NY

05/23/2016 - 09/05/2019

DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)

NY

10/10/2012 - 11/12/2015

BARCLAYS CAPITAL INC. (NEW YORK NY)

NJ

01/22/2010 - 03/19/2010

UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)

NJ

04/28/2006 - 01/22/2010

UBS SERVICES USA LLC (WEEHAWKEN NJ)

NY

12/21/2005 - 05/11/2006

GOLDMAN, SACHS & CO. (NEW YORK NY)

NJ

04/10/2001 - 12/20/2005

UBS SERVICES USA LLC (WEEHAWKEN NJ)

NY

08/09/2000 - 04/04/2001

LADENBURG, THALMANN & CO., INC. (NEW YORK NY)

NJ

12/13/1996 - 12/22/1999

PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)

TX

02/03/1995 - 02/09/1996

REDSTONE SECURITIES, INC. (DALLAS TX)

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Licenses & Designations

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/09/2012

Series 99 - Operations Professional Examination

BC

Issued 02/01/1995

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for William John Giliberti.
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