Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alice? Claim Your ProfileAlice Lo is a financial professional with over 5 years of experience in the industry. Alice is currently registered with UBS Asset Management (us) Inc. and has held previous roles at Credit Suisse Securities (USA) LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Alice holds the Series 3, 7, 63, and 79 licenses.
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.
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.
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2
NY
05/01/2024 - Present
UBS Asset Management (us) Inc. (New York NY)
NY
09/26/2022 - 05/01/2024
CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)
NY
06/06/2014 - 10/26/2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BC
Issued 08/29/2022
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/14/2022
Series 3 - National Commodity Futures Examination
BC
Issued 09/26/2022
Series 7TO - General Securities Representative Examination
BC
Issued 08/09/2022
SIE - Securities Industry Essentials Examination
BC
Issued 06/06/2014
Series 79 - Investment Banking Registered Representative Examination
Active
Inactive
F
FINRA
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