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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Aileen? Claim Your ProfileAileen Joohyun So is a financial advisor who has been active in the industry since 1999. Aileen is currently registered with UBS Financial Services Inc. and has been with the firm since 2001, She is licensed in 24 states, including California, Texas, and New York. Aileen has a strong background in the financial services industry, having previously worked at Credit Suisse Securities (USA) LLC and Deutsche Bank Alex. Brown Inc. Aileen holds a Series 7, Series 63, and Series 66 license. She has received numerous certifications and designations in the financial industry. Aileen is committed to providing her clients with personalized financial advice and guidance.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
CA
11/19/2015 - Present
UBS Financial Services Inc. (SAN FRANCISCO CA)
CA
09/26/2008 - 12/16/2015
CREDIT SUISSE SECURITIES (USA) LLC (SAN FRANCISCO CA)
CA
07/12/2001 - 10/03/2008
UBS FINANCIAL SERVICES INC. (SAN FRANCISCO CA)
NY
01/13/2001 - 06/25/2001
DEUTSCHE BANC ALEX. BROWN INC. (NEW YORK NY)
MD
07/23/1999 - 01/13/2001
DB ALEX. BROWN LLC (BALTIMORE MD)
BOTH
Issued 12/28/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/01/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/22/1999
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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