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Yan Yan Dong

Ubs Financial Services Inc.

Kirkland, WA

New York, NY

CRD 6372906

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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
WA RA APPROVED 2022-06-10
  • WA RA
    APPROVED
    Since 2022-06-10

Branch Locations

Kirkland, WA • United States

1285 Avenue Of The Americas 20Th Floor, New York, NY 10171 • 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
Ubs Securities Llc Nashville TN 07/2014 12/2021
Ubs Financial Services Inc. Wilmington TN 12/2021 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-05-28
  • S66 Uniform Combined State Law Examination
    2022-05-28

View on SEC IAPD

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