Toma Lee Kay

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2009 → 10/2018
  Morgan Stanley Smith Barney
  Newport Beach, CA
• 05/2019 → 11/2020
  Wells Fargo Clearing Services, Llc
  Newport Beach, CA
• 10/2018 → 05/2019
  Unemployed
  Lake Forest, CA
• 11/2020 → Present
  Ubs Financial Services Inc.
  Irvine, CA

Previous Registrations

• 2019-05-01 → 2020-11-19
  Wells Fargo Clearing Services, Llc
  Newport Beach, CA
• 2009-06-01 → 2018-11-29
  Morgan Stanley
  Newport Beach, CA
  Irvine, CA
  Newport Beach, CA
  Newport Beach, CA
• 2007-04-02 → 2009-06-01
  Morgan Stanley & Co. Llc
  Newport Beach, CA
• 2000-09-20 → 2007-04-02
  Morgan Stanley Dw Inc.
  Newport Beach, CA
  Newport Bch, CA

Other Businesses

1) Rental Property / Driftwood Lane, Lake Elsinore, CA 92530 / Own single family home in Lake Elsinore in my single name / Real Estate / Owner / Landlord/ Start date: 3/1/2022 / Investment-related: No

Exams

• S65 Uniform Investment Adviser Law Examination
  2002-10-30
• S63 Uniform Securities Agent State Law Examination
  1990-08-07

Other Names

• Toma Lee Kay