Univest Securities, LLC (“Univest”) is a U.S. registered broker‑dealer and full‑service investment bank headquartered in New York, NY, participating in the U.S. stock market and broader capital markets. It is registered with the U.S. Securities and Exchange Commission (SEC) and is a member of both FINRA and the SIPC. Univest has operated under these registrations since 1994 and serves a global mix of institutional and retail clients through brokerage, advisory, and capital‑raising services.
Univest combines traditional broker‑dealer execution capabilities with sales & trading, market‑making, investment banking, wealth management, and advisory offerings. Its service suite reflects the role of stock exchange brokers in facilitating transactions, capital markets access, and financial strategy implementation.
What Services Does Univest Securities, LLC Offer?
Univest provides a wide range of financial services covering brokerage execution, capital markets, and advisory solutions.
Services Overview
| Service Category | What Univest Securities, LLC Offers |
| Brokerage & Execution Services | Trading and execution for U.S. equities, options, ETFs, and other listed securities. |
| Sales & Trading | Institutional sales coverage, market‑making, and active trading solutions. |
| Investment Banking & Advisory | Underwriting, registered direct offerings, public offerings, and strategic corporate advisory. |
| Wealth Management | Personalized wealth planning and investment services for clients. |
| Capital Markets Transactions | Registered direct offerings, IPOs, follow‑ons, and structured financing. |
Univest is also an introducing broker‑dealer that clears through Velox Clearing LLC and Curvature Securities LLC, meaning customer trades are executed but settled and held through these third‑party clearing partners.
Who Is Univest Securities, LLC For?
Univest serves a mix of institutional and retail client types, including:
- Institutional investors seeking execution services and market insight
- Corporate issuers accessing capital markets and advisory services
- High‑net‑worth individuals requiring wealth management and brokerage execution
- Entities participating in public offerings, registered direct offerings, and private placements
Univest’s services align with the roles played by NASDAQ stock brokers and other regulated broker‑dealers but include investment banking functions beyond basic retail execution.
Which Markets and Exchanges Can You Access Through Univest?
Market & Regulatory Access
- U.S. equities and listed securities on NYSE, NASDAQ, and OTC markets
- Capital markets access for registered offerings
- Execution of options and derivatives
- Advisory and underwriting services
Regulatory Memberships
- SEC‑registered broker‑dealer
- FINRA member
- SIPC member
These registrations ensure compliance with U.S. securities laws and investor protection frameworks that govern regulated stock exchange brokers in the US stock market.
How Trading and Services Work Through Univest
A typical engagement with Univest may involve:
- Account Opening: Clients – both institutional and eligible retail, establish brokerage or advisory relations with Univest.
- Execution & Clearing: Orders are placed for equities and other securities and routed through Velox Clearing LLC or Curvature Securities LLC for execution and settlement.
- Market Access: Clients trade securities, access research insights, and receive tailored investment recommendations.
- Capital Markets Transactions: Corporate clients may utilize bank underwriting and capital‑raising solutions for offerings.
Univest’s model integrates brokerage execution with detailed market access and investment banking support.
Contact Information and Website
Corporate Contact Information
| Detail | Information |
| Official Website | https://www.univest.us |
| Legal Name | Univest Securities, LLC |
| Main Office Address | 75 Rockefeller Plaza, Suite 18C, New York, NY 10019, USA |
| Regulatory Status | SEC‑registered broker‑dealer; FINRA & SIPC member |
| Phone | (212) 343‑8888 (public contact) |
| CRD | 36105 |
Regional Office / Operational Presence
Univest’s operations are based in the United States but serve global markets:
| Region / Area | Location (Focus) |
| Northeast (Headquarters) | New York, NY {Full‑service brokerage & investment banking} |
| Global | Cross‑border capital markets transactions and offerings |
Headquarters Location
Why Univest Securities, LLC Matters for Investors
Univest provides comprehensive brokerage and investment banking services tailored to both institutional and private clients, combining market execution with advisory depth. Key strengths include:
- SEC and FINRA registration ensuring regulatory compliance and investor protection.
- Diverse brokerage services that support trading across major U.S. exchanges.
- Capital‑raising capabilities via registered offerings and underwriting.
- Long‑standing service history since 1994 with a focus on client relationships.
While Univest participates in markets where NASDAQ stock brokers operate, it also extends into investment banking and advisory solutions, making it a multifaceted player in the U.S. financial ecosystem.
Compliance & Disclosures
- Regulated Status: Univest Securities, LLC is registered with the SEC as a broker‑dealer and a member of FINRA and SIPC, providing standard investor protections under U.S. law.
- Clearing Relationships: The firm clears trades through Velox Clearing LLC and Curvature Securities LLC.
- Brokerage Risk: SIPC protection covers customer assets in case of broker‑dealer insolvency but does not protect against investment losses.
Readers looking for the complete U.S. stock exchanges list can explore our detailed guide.
Frequently Asked Questions
What services does Univest Securities offer?
Univest Securities offers brokerage execution, sales and trading, investment banking, wealth management, and capital markets transaction services.
Who is Univest Securities for?
Univest serves institutional investors, corporate issuers, high-net-worth individuals, and clients involved in public offerings and private placements.
Which markets can I access through Univest Securities?
Univest provides access to U.S. equities, options, ETFs, NYSE, NASDAQ, OTC markets, and capital markets for registered offerings.
What regulatory memberships does Univest Securities hold?
Univest Securities is registered with the SEC, is a member of FINRA, and a member of SIPC, ensuring regulatory compliance and investor protection.
How does Univest Securities help clients trade and invest?
Univest offers brokerage accounts, executes trades through clearing partners such as Velox Clearing and Curvature Securities, and provides capital-raising solutions for corporate clients.
Why choose Univest Securities?
Univest combines brokerage services with investment banking and capital markets expertise, offering comprehensive support to both institutional and private clients.
