# UBS SECURITIES LLC

UBS SECURITIES LLC of NEW YORK, NY is an SEC-registered investment adviser.

## Registration

- CRD: 7654
- Type: SEC-registered investment adviser
- SEC file number: 801-67178
- Location: 1285 AVENUE OF THE AMERICAS, NEW YORK, NY, 10019
- Phone: 212-713-3000
- Latest filing: 2013-01-24
- Clients: 2,700

## Officers, owners & control persons (59)

_Showing 25 of 59 people._

| Name | Role | Location |
| --- | --- | --- |
| James Odell | GENERAL COUNSEL FOR THE AMERICAS | CHARLOTTE, NC |
| SCHWARTZ CARY MICHAEL | MANAGING DIRECTOR, DEBT SROP | — |
| PITTARELLI ERNEST ANTHONY | MANAGING DIRECTOR, HEAD NORTH AMERICAN OPERATIONS | — |
| HOTZ ROBERT HENRY | MANAGING DIRECTOR, HEAD OF INVESTMENT BANKING, LLC MANAGER | — |
| KLOIN SCOTT E | DIRECTOR, CHIEF COMPLIANCE OFFICER(INVESTMENT ADVISOR); EXECUTIVE DIRECTOR, CHIEF COMPLIANCE OFFICER(INVESTMENT ADVISOR) | — |
| SHELTON MARK STEVEN | MANAGING DIRECTOR, GENERAL COUNSEL AMERICAS | — |
| POLANIN JOHN JR | EXECUTIVE DIRECTOR, COMPLIANCE DIRECTOR | — |
| SHEAR NEAL ALLAN | GLOBAL HEAD OF SECURITIES BUSINESS FOR INVESTMENT BANK | — |
| MAYER JEFFREY ALAN | MANAGING DIRECTOR,  CO - HEAD OF GLOBAL FICC; MANAGING DIRECTOR, CO - HEAD OF GLOBAL FICC | — |
| MCISAAC DANIEL THOMAS | CHIEF FINANCIAL OFFICER, HEAD OF REGULATORY REPORTING; DIRECTOR, CFO, HEAD OF REGULATORY REPORTING | — |
| MONTEIRO JASON ANTHONY | DIRECTOR, CROP | — |
| RILEY MICHAEL FRANCIS | EXECUTIVE DIRECTOR, PCX NOMINEE; MANAGING DIRECTOR, PCX NOMINEE | — |
| CHANDLER WILLIAM WOOD | MANAGING DIRECTOR, FIXED INCOME SROP | — |
| ESQUIVEL RAUL PETER | MANAGING DIRECTOR, HEAD OF EQUITIES- AMERICAS | — |
| RESSEL TERESA MULLETT | CHIEF EXECUTIVE OFFICER AND CHIEF OPERATING OFFICER; CHIEF OPERATING OFFICER; MANAGING DIRECTOR, CHIEF EXECUTIVE OFFICER AND CHIEF OPERATING OFFICER | — |
| LEAMAN JACOB RICHARD III | MANAGING DIRECTOR, HEAD OF INVESTMENT BANKING- AMERICAS | — |
| HERDE MICHAEL EUGENE | CHIEF COMPLIANCE OFFICER; EXCUTIVE DIRECTOR, COMPLIANCE DIRECTOR; EXECUTIVE DIRECTOR, COMPLIANCE DIRECTOR | — |
| PARRY COLIN SEAMUS HOLMES | MANAGER-OPERATIONS; MANAGING DIRECTOR, OPERATIONS | — |
| SHULMAN DAVID HARRIS | GLOBAL HEAD MUNICIPAL SECURITIES GROUP / HEAD OF FIXED INCOME AMERICAS; MANAGING DIRECTOR, GLOBAL HEAD MUNICIPAL SECURITIES GROUP / HEAD OF FIXED INCOME AMERICAS | — |
| EDWARDS MIA SQUERI | CHIEF COMPLIANCE  OFFICER; MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER; MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER (BROKER DEALER) | — |
| KISS PAMELA | EXECUTIVE DIRECTOR, SROP; SROP | — |
| ODELL JAMES EDWARD | MANAGING DIRECTOR, GENERAL COUNSEL FOR THE AMERICAS | — |
| DYRVIK PERERIK | CHIEF FINANCIAL OFFICER; MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER | — |
| FUTTER DAVID I | EXECUTIVE DIRECTOR,CHIEF COMPLIANCE OFFICER(INVESTMENT ADVISOR) | — |
| AGONIS SUSAN PACH | DIRECTOR, CROP | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/7654/brochure
- Similar advisers: https://search.stillhousedata.com/firm/7654/similar
- Related entities: https://search.stillhousedata.com/firm/7654/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/7654

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.