Cathy C Lok

Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/1996 → 06/2023
  Wells Fargo Bank, N.A.
  Houston, TX
• 01/2011 → 11/2016
  Wells Fargo Advisors Llc
  Houston, TX
• 11/2016 → 06/2023
  Wells Fargo Clearing Services, Llc
  Houston, TX
• 06/2023 → Present
  Ubs Financial Services Inc
  Houston, TX

Previous Registrations

• 2011-01-03 → 2023-06-09
  Wells Fargo Clearing Services, Llc
  Houston, TX
  Houston, TX
  Houston, TX
• 2002-05-09 → 2011-01-03
  Wells Fargo Investments, Llc
  Houston, TX
  Houston, TX

Exams

• S66 Uniform Combined State Law Examination
  2002-05-08

Other Names

• Cathy Cha-Jean Lok-Kwan
• Cathy Lok