UBS SECURITIES LLC ⚠ Disclosure events
⚠ Regulatory disclosure flag: FINRA reports regulatory or customer-dispute disclosure events for this firm. The specific details (regulatory actions, arbitrations, customer complaints, criminal events) live on the primary BrokerCheck page. This flag is the KYC tripwire that institutional vendors charge for.
Key facts
- FINRA firm ID
- 7654
- Firm name
- UBS SECURITIES LLC
- Other names / DBAs
- BRUNSWICK UBS WARBURG; WARBURG DILLON READ LLC; UBS WARBURG LLC; UBS SECURITIES LLC; UBS SECURITIES INC.; UBS INVESTMENT BANK
- IA scope
- —
- SEC BD file
- 8-22651
- Branches
- 42
- Disclosure events
- YES
Run KYC screen
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