Branch offices
39 offices
FINRA: Large firm
CRD #7654 · FINRA BrokerCheck + SEC IAPD
UBS Securities LLC
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, UBS Securities LLC ranks #15 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #6 of 868 on the same disclosure sort used on the state browse page. UBS Securities LLC carries 317 BrokerCheck disclosures across 39 branch offices - heavy load for a mid-sized firm, earning a Grade D.
- Grade D
- Safety grade
- 39
- branch offices
- 317
- disclosures
- #15 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 7654 UBS Securities LLC
UBS Securities LLC · Grade D · 317 disc · 8.13/office · Mid-sized firm
- CRD 7654
- GRADE D
- DISC 317
- REG 309
- ARB 4
- CIV 4
- BRANCH 39
- PER-OFF 8.13
- RANK #15 of 20,055
- BOOK Mid-sized firm
Intensity peers
Nearest same-size peer: Goldman Sachs & Co. LLC (11.70 disc/office)
UBS Securities LLC ranks #15 of 20,055 by disclosure count among graded broker-dealers; heavy load at 8.13 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 2/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.
Data updated July 2026
Total disclosures
317 events
On FINRA BrokerCheck
Regulatory events
309 actions
97% of all disclosures
Disclosures per office
8.13 per office
317 ÷ 39 offices
Disclosure Intensity
Disclosures per branch office, the firm's disclosure load relative to its operating footprint.
UBS Securities LLC - disclosures per branch office 100.0%
Typical multi-office firm
Most multi-office firms sit below ~0.5 disclosures per branch; values above 1.0 are notably high for the footprint.
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 309 |
| Arbitrations | 4 |
| Civil Events | 4 |
| Total | 317 |
Counts for UBS Securities LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 309 Arbitration 4 Civil 4
Firm Details
- Firm Size
- Large
- Scope
- ACTIVE
- Location
- New York, NY, 10010
- Formed
- 06/29/1998
- State of Formation
- Delaware
- CRD Number
- 7654
- SEC Number
- 22651
Regulator-heavy mix
UBS Securities LLC in the heavier-disclosure third
UBS Securities LLC carries 317 BrokerCheck disclosures across 39 branch offices - a heavier-third raw book among graded firms (#15 of 20,055). Regulator-initiated events are 97% of the book (309 regulatory / 4 arbitration / 4 civil).
97% of UBS Securities LLC's 317 disclosures are regulator-initiated (309 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of UBS Securities LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.
New York cohort · 36× state average
UBS Securities LLC sits above the New York disclosure average
UBS Securities LLC reports 317 BrokerCheck disclosures, 36× the New York average of 8.7 across 868 graded firms with a principal-office state on file.
In New York, 513 firms carry Grade A and 7 carry Grade F on the same size-normalized scale.
Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the New York state book →
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does UBS Securities LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, UBS Securities LLC ranks #15 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #6 of 868 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of D mean for UBS Securities LLC?
A grade of D reflects UBS Securities LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (mid-sized firm). It carries 317 total disclosures across 39 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does UBS Securities LLC have?
UBS Securities LLC has 317 total FINRA disclosures, including 309 regulatory events, 4 arbitrations, 4 civil events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is UBS Securities LLC?
UBS Securities LLC operates 39 branch offices and is classified by FINRA as a large firm, registered in NY (Mid-sized firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify UBS Securities LLC's disciplinary record?
You can verify UBS Securities LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 7654. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). UBS Securities LLC's 317 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid UBS Securities LLC because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. UBS Securities LLC carries 317 disclosures across 39 branch offices (about 8.13 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Nationwide peers by disclosures or branches
Two PlainAdvisorCheck-derived peer sets for UBS Securities LLC, both outside NY so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).
Similar disclosure totals
Nearest cross-state graded firms by BrokerCheck disclosure count (317 here).
Similar branch footprint
Nearest cross-state graded firms by branch-office count (39 here).
Read with this firm
- Goldman Sachs & Co. LLC (NY) - 11.70 disclosures/office, nearest mid-sized firm peer to UBS Securities LLC's 8.13
- Morgan Stanley & Co. LLC (NY) - 12.55 disclosures/office, nearest mid-sized firm peer to UBS Securities LLC's 8.13
- Jefferies LLC (NY) - 3.26 disclosures/office, nearest mid-sized firm peer to UBS Securities LLC's 8.13
- Firms in NY - state roster that includes UBS Securities LLC's registration home.
- Red Flags in Advisor Records - How to read UBS Securities LLC's heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 317 disclosures behind UBS Securities LLC's Grade D.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as UBS Securities LLC.
- Compare firms - put UBS Securities LLC next to peers on grade and footprint.
Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.
Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.