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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2022-07-13
TX RA APPROVED 2022-07-13
  • CA RA
    APPROVED
    Since 2022-07-13
  • TX RA
    APPROVED
    Since 2022-07-13

Branch Locations

3030 Old Ranch Pkwy Suite 300, Seal Beach, CA 90740 • United States

Long Beach, 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
Ameriprise Financial Services, Inc. West Los Angeles CA 03/2014 04/2018
Morgan Stanley Smith Barney Llc Beverly Hills CA 04/2018 04/2020
Wells Fargo Clearing Services, Llc Los Angeles CA 04/2020 06/2022
Ubs Financial Services.iNc Seal Beach CA 07/2022 Present
  • 03/2014 → 04/2018
    Ameriprise Financial Services, Inc.
    West Los Angeles, CA
  • 04/2018 → 04/2020
    Morgan Stanley Smith Barney Llc
    Beverly Hills, CA
  • 04/2020 → 06/2022
    Los Angeles, CA
  • 07/2022 → Present
    Ubs Financial Services.iNc
    Seal Beach, CA
Previous Registrations
Other Businesses

1. L.G.- KP Body Sculpt, Long Beach CA United States-90803, Teaching Lagree class every Friday for 45 minutes, Contractor - Fitness Instructor once a week for 45 minutes, Start date-3/31/2023

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-01-09
  • S66 Uniform Combined State Law Examination
    2017-01-09
Other Names
  • Lily Gong
  • Xuan Gong
  • Lily Alexandria Xuan Gong

View on SEC IAPD

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