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Chao-Wei Liu

Ubs Financial Services Inc.

Weehawken, NJ

New York, NY

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2024-05-10
  • NY RA
    APPROVED
    Since 2024-05-10

Branch Locations

1200 Harbor Boulevard, Weehawken, NJ 07086 • UNITED STATES

1285 Avenue Of The Americas, New York, NY 10019 • 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
Hsbc Bank Usa, N.A. New York NY 08/2016 05/2020
Ubs Financial Services Inc. Weehawken NJ 06/2020 Present
Previous Registrations
  • 2015-12-04 → 2020-06-05
    Hsbc Securities (Usa) Inc.
    Flushing, NY
    New York, NY
    New York, NY
    New York, NY
    New York, NY
    New York, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-12-04
S63 Uniform Securities Agent State Law Examination 2006-10-23
  • S65 Uniform Investment Adviser Law Examination
    2015-12-04
  • S63 Uniform Securities Agent State Law Examination
    2006-10-23
Other Names
  • Chao-Wei Liu
  • Chao Wei Liu

View on SEC IAPD

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