Sze Yiu Wong

Ubs Financial Services Inc.

San Francisco, CA

CRD 7873075

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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
CA	RA	APPROVED	2025-10-13

CA RA
APPROVED

Since 2025-10-13

Branch Locations

Irvine, CA • United States

555 California Street 33Rd Floor, San Francisco, CA 94104 • 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
Bank Of America	Dublin	CA	06/2019	11/2020
First Republic Bank	Walnut Creek	CA	06/2021	03/2023
Ubs	San Francisco	CA	03/2024	Present
Unemployed	Pleasanton	CA	12/2020	05/2021
Unemployed	Pleasanton	CA	04/2023	02/2024
Unemployed	Walnut Creek	CA	02/2015	05/2019

06/2019 → 11/2020

Bank Of America

Dublin, CA
06/2021 → 03/2023

First Republic Bank

Walnut Creek, CA
03/2024 → Present

Ubs

San Francisco, CA
12/2020 → 05/2021

Unemployed

Pleasanton, CA
04/2023 → 02/2024

Unemployed

Pleasanton, CA
02/2015 → 05/2019

Unemployed

Walnut Creek, CA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2025-10-13

S66 Uniform Combined State Law Examination

2025-10-13

Other Names

Jancy Wong
Szeyiu Wong

View on SEC IAPD

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