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Stephanie Wai Yi Wong

Ubs Financial Services Inc.

Mill Valley, CA

San Francisco, CA

San Francisco, CA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2020-01-22
  • CA RA
    APPROVED
    Since 2020-01-22

Branch Locations

2 Belvedere Place Suite 220, Mill Valley, CA 94941 • United States

555 California St 34Th, 36Th & 46Th Floors, San Francisco, CA 94104 • United States

San Francisco, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Robert W. Baird & Co. Incorporated San Francisco CA 03/2011 01/2020
Ubs Financial Services Inc. Mill Valley CA 01/2020 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-09-05
  • S66 Uniform Combined State Law Examination
    2002-09-05
Other Names
  • Wai Yi Wong

View on SEC IAPD

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Other Offices

PRIVATE WEALTH PARTNERS, LLC · MILL VALLEY, CA
DIPSEA CAPITAL, LLC · MILL VALLEY, CA
OSAIC WEALTH, INC. · Mill Valley, CA
SCHMITZ CAPITAL PARTNERS, LLC · MILL VALLEY, CA
BAYHUNT CAPITAL LLC · MILL VALLEY, CA
BOLDIN ADVISORS · MILL VALLEY, CA
URBAN INVESTMENT ADVISORS · MILL VALLEY, CA
COMMONWEALTH FINANCIAL NETWORK · Mill Valley, CA

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