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Sang Oh

Ubs Financial Services Inc.

New York, NY

CRD 5263176

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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:

Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-10-26
NJ RA APPROVED 2020-02-10
  • NY RA
    APPROVED
    Since 2021-10-26
  • NJ RA
    APPROVED
    Since 2020-02-10

Branch Locations

11 Madison Avenue, New York, NY 10010 • 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
Knight Execution & Clearing Services Llc Jersey City NJ 07/2012 11/2016
Auerbach Grayson & Co Llc New York NY 02/2017 02/2019
Ubs Financial Services Inc. Weehawken NJ 11/2019 Present
Unemployed New York NY 03/2019 11/2019
  • 07/2012 → 11/2016
    Knight Execution & Clearing Services Llc
    Jersey City, NJ
  • 02/2017 → 02/2019
    Auerbach Grayson & Co Llc
    New York, NY
  • 11/2019 → Present
    Ubs Financial Services Inc.
    Weehawken, NJ
  • 03/2019 → 11/2019
    Unemployed
    New York, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-02-08
S63 Uniform Securities Agent State Law Examination 2007-10-20
  • S66 Uniform Combined State Law Examination
    2020-02-08
  • S63 Uniform Securities Agent State Law Examination
    2007-10-20
Other Names
  • Samuel Sang-Min Oh
  • Sam Oh
  • Sang-Min Oh

View on SEC IAPD

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