Andre S Chung

Ubs Financial Services Inc.

CRD 3228507

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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
NC	RA	APPROVED	2024-02-01
FL	RA	APPROVED	2022-02-17
NY	RA	APPROVED	2021-10-26
NJ	RA	APPROVED	2016-06-07

NC RA
APPROVED

Since 2024-02-01
FL RA
APPROVED

Since 2022-02-17
NY RA
APPROVED

Since 2021-10-26
NJ RA
APPROVED

Since 2016-06-07

Branch Locations

1285 Avenue Of The Americas 15Th Floor, New York, NY 10019 • United States

13024 Ballantyne Corporate Plaza Suite 650, Charlotte, NC 28277 • United States

Charlotte, NC • 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
Ubs Ag	New York	NY	01/2008	Present

01/2008 → Present

Ubs Ag

New York, NY

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2016-05-24

S66 Uniform Combined State Law Examination

2016-05-24

View on SEC IAPD

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