Dok Sang Chua

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-12-15
TX	RA	APPROVED_RES	2010-01-01

NY RA
APPROVED

Since 2021-12-15
TX RA
APPROVED_RES

Since 2010-01-01

Branch Locations

1285 Ave Of The Americas 19Th Floor, New York, NY 10019 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Ubs Financial Services Inc.	New York	NY	01/2010	Present

01/2010 → Present

Ubs Financial Services Inc.

New York, NY

Previous Registrations

2009-11-10 → 2010-01-01

Ubs International Inc.

New York, NY
2001-01-18 → 2009-11-13

Chase Investment Services Corp.

New York, NY

New York, NY

Astoria, NY

New York, NY

New York, NY

New York, NY

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2021-12-11
S63	Uniform Securities Agent State Law Examination	1998-10-23

S65 Uniform Investment Adviser Law Examination

2021-12-11
S63 Uniform Securities Agent State Law Examination

1998-10-23

Other Names

Dok Sang Chula

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Other Firms

Other Investors

Other Offices

Reviews