Brenda Lo

Ubs Financial Services Inc.

San Francisco, CA

CRD 6914456

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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

Authority	Category	Status	Date
NV	RA	APPROVED	2023-08-30
CA	RA	APPROVED	2018-06-11

NV RA
APPROVED

Since 2023-08-30
CA RA
APPROVED

Since 2018-06-11

Branch Locations

10801 W. Charleston Blvd, Las Vegas, NV 89135 • United States

555 California Street 32Nd Floor/ Suite 3200, San Francisco, CA 94104 • United States

Henderson, NV • 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

Organization	City	State	From	To
Earnest, Inc	San Francisco	CA	07/2015	12/2017
Ubs Financial Services Inc.	San Francisco	CA	02/2018	Present

07/2015 → 12/2017

Earnest, Inc

San Francisco, CA
02/2018 → Present

Ubs Financial Services Inc.

San Francisco, CA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2018-06-09

S66 Uniform Combined State Law Examination

2018-06-09

Other Names

Brenda Qianmei Li

View on SEC IAPD

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